Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Stephanie Nakajima
STEPHANIE KHO-YEE LEE, STEPHANIE KUO-YEE LEE
CRD#: 4818722
IA
Investment Adviser
B
Broker
CHARLES SCHWAB & CO., INC.CRD#: 5393 9800 Schwab Way
Lone Tree, CO 80124
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2024 - Present (<1 year)BOPPENHEIMERFUNDS DISTRIBUTOR, INC. (CRD# 7834)2012 - 2019 (6 years)BNYLIFE SECURITIES LLC (CRD# 5167)2004 - 2012 (7 years)
License(s)

State Registrations

B
Colorado 11/19/2024
B
Texas 11/19/2024
IA
Colorado 11/19/2024

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

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
CHARLES SCHWAB & CO., INC. (CRD#:5393)
9800 Schwab Way, Lone Tree, CO 80124
Registered with this firm since 11/19/2024
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
9800 Schwab Way, Lone Tree, CO 80124
Registered with this firm since 7/27/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 07/20/2012 - 06/03/2019 OPPENHEIMERFUNDS DISTRIBUTOR, INC. (CRD#:7834) CENTENNIAL, CO
B
 08/18/2004 - 05/08/2012 NYLIFE SECURITIES LLC (CRD#:5167) HONOLULU, HI
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.