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YUEH-HWA LEE
GRACE LEE
CRD#: 6276831
IA
B
VERUS CAPITAL PARTNERS, LLCCRD#: 151568 2700 E Foothill Blvd
Pasadena, CA 91107
Pasadena, CA 91107
LPL FINANCIAL LLCCRD#: 6413 2700 E FOOTHILL BLVD STE 210
PASADENA, CA 91107
PASADENA, CA 91107
0
Disclosures
11
Years of Experience
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State Registrations
B
California 6/29/2021
IA
California 8/3/2021
SRO Registrations
B
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IA
Registered with this firm since 8/3/2021
B
Registered with this firm since 6/29/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/25/2019 - 07/07/2021 | IRVING, TX | |
B | 10/25/2019 - 07/02/2021 | Pasadena, CA | |
IA | 02/11/2014 - 10/25/2019 | Pasadena, CA | |
B | 02/03/2014 - 10/25/2019 | Pasadena, CA |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.