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Detailed Report
STEVE LEE
Chu Young Lee
CRD#: 5523620
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 135 N LOS ROBLES AVENUE
PASADENA, CA 91101
CETERA INVESTMENT SERVICES LLCCRD#: 15340 135 N LOS ROBLES AVENUE
PASADENA, CA 91101
Registration History
20082010201220142016201820202022202420262 FIRMS2009 - 2012 (2 years)2 FIRMS2012 - 2013 (1 year)2 FIRMS2013 - 2017 (4 years)2 FIRMS2017 - 2018 (1 year)2 FIRMS2019 - 2021 (2 years)2 FIRMS2021 - 2022 (<1 year)2 FIRMS2022 - 2024 (2 years)2 FIRMS2024 - Present (<1 year)BUNIONBANC INVESTMENT SERVICES, LLC (CRD# 14455)2008 - 2009 (1 year)IAUNIONBANC INVESTMENT SERVICES, LLC (CRD# 14455)2009 - 2009 (<1 year)
License(s)

State Registrations

B
California 6/27/2024
B
Texas 6/27/2024
IA
California 6/27/2024
IA
Texas 6/27/2024
B
Nevada 6/27/2024
B
Washington 6/27/2024
B
New York 6/27/2024

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)
135 N LOS ROBLES AVENUE, PASADENA, CA 91101
Registered with this firm since 6/27/2024
B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
135 N LOS ROBLES AVENUE, PASADENA, CA 91101
Registered with this firm since 6/27/2024
Previous Registration(s)
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IA
 06/28/2022 - 06/19/2024 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) IRVINE, CA
B
 06/28/2022 - 06/19/2024 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) IRVINE, CA
IA
 09/30/2021 - 05/03/2022 J.P. MORGAN SECURITIES LLC (CRD#:79) FULLERTON, CA
B
 09/30/2021 - 05/03/2022 J.P. MORGAN SECURITIES LLC (CRD#:79) FULLERTON, CA
IA
 02/25/2019 - 09/28/2021 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) CHINO, CA
B
 02/25/2019 - 09/28/2021 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) CHINO, CA
IA
 09/06/2017 - 12/06/2018 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) SAN FRANCISCO, CA
B
 09/06/2017 - 12/06/2018 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) SAN FRANCISCO, CA
IA
 05/02/2013 - 08/21/2017 BANCWEST INVESTMENT SERVICES, INC. (BWIS) AND BWIS D/B/A FHIS (CRD#:29357) SAN FRANCISCO, CA
B
 05/02/2013 - 08/21/2017 BANCWEST INVESTMENT SERVICES, INC. (CRD#:29357) SAN FRANCISCO, CA
IA
 02/10/2012 - 03/06/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) YORBA LINDA, CA
B
 02/10/2012 - 03/06/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) YORBA LINDA, CA
IA
 12/23/2009 - 01/31/2012 UNIONBANC INVESTMENT SERVICES, LLC (CRD#:14455) IRVINE, CA
B
 12/23/2009 - 01/31/2012 UNIONBANC INVESTMENT SERVICES, LLC (CRD#:14455) IRVINE, CA
IA
 07/15/2009 - 08/26/2009 UNIONBANC INVESTMENT SERVICES, LLC (CRD#:14455) IRVINE, CA
B
 07/23/2008 - 08/26/2009 UNIONBANC INVESTMENT SERVICES, LLC (CRD#:14455) IRVINE, 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.