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Detailed Report
PATRICK YAMLAI LEE
CRD#: 4327642
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 2 PARK PLAZA
SUITE 450
IRVINE, CA 92614
CETERA FINANCIAL SPECIALISTS LLCCRD#: 10358 2 PARK PLAZA
SUITE 450
IRVINE, CA 92614
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2001 - Present (23 years)
License(s)

State Registrations

B
California 1/12/2001
IA
California 4/17/2001

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
2 PARK PLAZA SUITE 450, IRVINE, CA 92614
Registered with this firm since 4/17/2001
B
CETERA FINANCIAL SPECIALISTS LLC (CRD#:10358)
2 PARK PLAZA SUITE 450, IRVINE, CA 92614
Registered with this firm since 1/12/2001
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.