Individual Firm
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PAIWEI LEE
CHRISTOPHER LEE
CRD#: 3079502
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 MATAMORAS, PA
CETERA ADVISOR NETWORKS LLCCRD#: 13572 MATAMORAS, PA
0
Disclosures
26
Years of Experience
View By:
State Registrations
B
California 9/3/2013
B
New Jersey 9/3/2013
B
Delaware 11/23/2021
B
New York 9/3/2013
B
Hawaii 9/14/2020
B
Pennsylvania 9/3/2013
B
Illinois 9/3/2013
IA
Pennsylvania 6/29/2023
B
Michigan 1/5/2016
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 6/29/2023
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/03/2013 - 06/29/2023 | EL SEGUNDO, CA | |
IA | 05/19/2009 - 09/03/2013 | ALAMEDA, CA | |
B | 05/21/2007 - 09/03/2013 | ALAMEDA, CA | |
B | 08/01/2003 - 05/17/2007 | NEW YORK, NY | |
B | 01/02/2002 - 08/01/2003 | NEW YORK, NY | |
IA | 01/02/2002 - 01/28/2003 | NEW YORK, NY | |
B | 07/27/1998 - 12/31/2001 | NEW YORK, NY |
For additional information about investment advisers or broker-dealers, please visit
B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.