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Detailed Report
SANG HYUN LEE
Sanghyun Lee
CRD#: 6060711
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 14468 CULVER DR
IRVINE, CA 92604
Registration History
201620172018201920202021202220232024202520262 FIRMS2016 - 2016 (<1 year)2 FIRMS2016 - 2018 (1 year)2 FIRMS2020 - 2024 (4 years)2 FIRMS2024 - Present (<1 year)
Disclosure(s)
View By:
12/31/2019
Customer Dispute
Denied
License(s)

State Registrations

B
California 6/28/2024
B
Michigan 9/11/2024
IA
California 6/28/2024
B
Nevada 2/3/2025
B
Connecticut 12/19/2024
B
New Mexico 11/29/2024
B
Georgia 10/17/2024
B
Oregon 7/24/2024

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, 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)
14468 CULVER DR, IRVINE, CA 92604
Registered with this firm since 6/28/2024
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
14468 CULVER DR, IRVINE, CA 92604
Registered with this firm since 6/28/2024
Previous Registration(s)
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IA
 03/31/2020 - 06/28/2024 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEWPORT BEACH, CA
B
 03/31/2020 - 06/28/2024 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEWPORT BEACH, CA
IA
 10/19/2016 - 04/05/2018 AXA ADVISORS, LLC (CRD#:6627) LOS ANGELES, CA
B
 10/19/2016 - 04/05/2018 AXA ADVISORS, LLC (CRD#:6627) LOS ANGELES, CA
IA
 06/27/2016 - 08/03/2016 WADDELL & REED (CRD#:866) TORRANCE, CA
B
 05/05/2016 - 08/03/2016 WADDELL & REED (CRD#:866) TORRANCE, 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.