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Detailed Report
SZE WAN LEE
FRANCESCA LEE
CRD#: 4894167
IA
Investment Adviser
B
Broker
TRANSAMERICA FINANCIAL ADVISORS, LLCCRD#: 16164 765 THE CITY DRIVE S.
SUITE 100
ORANGE, CA 92868
Registration History
200620082010201220142016201820202022202420262 FIRMS2021 - Present (3 years)BPAYCHEX SECURITIES CORPORATION (CRD# 39733)2019 - 2020 (<1 year)BTRANSAMERICA FINANCIAL ADVISOR... (CRD# 16164)2012 - 2019 (7 years)BWORLD GROUP SECURITIES, INC. (CRD# 114473)2005 - 2012 (6 years)
License(s)

State Registrations

B
California 3/5/2021
IA
California 7/6/2021

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
TRANSAMERICA FINANCIAL ADVISORS, LLC (CRD#:16164)
765 THE CITY DRIVE S. SUITE 100, ORANGE, CA 92868
Registered with this firm since 7/6/2021
B
TRANSAMERICA FINANCIAL ADVISORS, LLC (CRD#:16164)
765 THE CITY DRIVE S. SUITE 100, ORANGE, CA 92868
Registered with this firm since 3/4/2021
Previous Registration(s)
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B
 09/19/2019 - 06/02/2020 PAYCHEX SECURITIES CORPORATION (CRD#:39733) COSTA MESA, CA
B
 01/06/2012 - 09/18/2019 TRANSAMERICA FINANCIAL ADVISORS, INC (CRD#:16164) ORANGE, CA
B
 03/22/2005 - 01/06/2012 WORLD GROUP SECURITIES, INC. (CRD#:114473) EL MONTE, CA
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.