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STEVEN SOK LEE
CHIN SOK LEE, STEVE S LEE, STEVEN SOK JIN LEE
CRD#: 3252137
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Investment Adviser
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Broker
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCCRD#: 149018 THREE POINTE DRIVE
SUITE 104
BREA, CA 92821
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 THREE POINTE DRIVE
SUITE 104
BREA, CA 92821
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2008 - 2014 (5 years)2 FIRMS2014 - Present (10 years)BM.L. STERN & CO., LLC. (CRD# 8327)1999 - 2008 (9 years)IAM. L. STERN & CO, LLC. (CRD# 8327)2004 - 2008 (4 years)
License(s)

State Registrations

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Arizona 2/15/2022

B
Montana 3/2/2022

B
California 10/10/2014

B
Nevada 10/10/2014

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California 10/13/2014

B
New Jersey 7/16/2021

B
Colorado 2/4/2020

B
New York 10/10/2014

B
Connecticut 1/2/2015

B
Ohio 10/10/2014

B
Florida 10/9/2020

B
Oregon 10/10/2014

B
Georgia 5/2/2023

B
Pennsylvania 6/16/2023

B
Illinois 8/24/2020

B
Texas 10/10/2014

B
Indiana 9/1/2022

IA
Texas 4/28/2016

B
Minnesota 11/3/2020

B
Washington 10/10/2014

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
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RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018)
THREE POINTE DRIVE SUITE 104, BREA, CA 92821
La Mirada, CA
Registered with this firm since 10/13/2014

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RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694)
THREE POINTE DRIVE SUITE 104, BREA, CA 92821
La Mirada, CA
Registered with this firm since 10/10/2014

Previous Registration(s)
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12/10/2008 - 10/21/2014 SOUTHWEST SECURITIES, INC. (CRD#:6220) BEVERLY HILLS, CA
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12/10/2008 - 10/21/2014 SOUTHWEST SECURITIES, INC. (CRD#:6220) BEVERLY HILLS, CA
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04/29/2004 - 12/31/2008 M. L. STERN & CO, LLC. (CRD#:8327) BEVERLY HILLS, CA
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09/14/1999 - 12/31/2008 M.L. STERN & CO., LLC. (CRD#:8327) BEVERLY HILLS, CA
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Broker
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Investment Adviser
Disclosures
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.