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Detailed Report
CHARLOTTE YIU WAI LEE
CRD#: 4975691
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 999 E HILLSDALE BLVD
FOSTER CITY, CA 94404
Registration History
200620082010201220142016201820202022202420262 FIRMS2009 - 2011 (1 year)2 FIRMS2011 - Present (14 years)BNI ADVISORS (CRD# 134502)2006 - 2009 (2 years)BCARILLON INVESTMENTS, INC. (CRD# 14646)2005 - 2006 (<1 year)
License(s)

State Registrations

B
Arizona 1/4/2019
B
New York 2/22/2023
B
California 1/3/2011
B
Ohio 7/18/2023
IA
California 1/3/2011
B
Pennsylvania 5/18/2022
B
Colorado 10/5/2023
B
Tennessee 8/20/2019
B
Florida 2/3/2021
B
Texas 1/4/2019
B
Nebraska 1/4/2019
IA
Texas 1/4/2019
B
Nevada 1/3/2019

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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
WELLS FARGO ADVISORS (CRD#:19616)
999 E HILLSDALE BLVD, FOSTER CITY, CA 94404
81 W HILLSDALE BLVD, SAN MATEO, CA 94403
Registered with this firm since 1/3/2011
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
999 E HILLSDALE BLVD, FOSTER CITY, CA 94404
81 W HILLSDALE BLVD, SAN MATEO, CA 94403
Registered with this firm since 1/3/2011
Previous Registration(s)
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IA
 02/19/2009 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) FOSTER CITY, CA
B
 02/18/2009 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) FOSTER CITY, CA
B
 10/13/2006 - 02/25/2009 NI ADVISORS (CRD#:134502) FOSTER CITY, CA
B
 09/08/2005 - 05/04/2006 CARILLON INVESTMENTS, INC. (CRD#:14646) SAN FRANCISCO, 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.