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Detailed Report
PATRICK ALLEN LEE
CRD#: 711925
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 LAS VEGAS, NV
Registration History
19801985199019952000200520102015202020252 FIRMS2009 - 2011 (2 years)2 FIRMS2012 - 2014 (1 year)2 FIRMS2014 - 2014 (<1 year)2 FIRMS2014 - 2018 (4 years)2 FIRMS2018 - Present (6 years)BTORREY PINES WEALTH MANAGEMENT... (CRD# 155246)2012 - 2012 (<1 year)BTORREY PINES SECURITIES, INC. (CRD# 17120)2011 - 2012 (<1 year)BCAMBRIDGE INVESTMENT RESEARCH,... (CRD# 39543)2002 - 2009 (6 years)BMUTUAL SECURITIES, INC. (CRD# 13092)2001 - 2002 (1 year)BFSC SECURITIES CORPORATION (CRD# 7461)1999 - 2001 (1 year)BSPELMAN & CO., INC. (CRD# 10232)1996 - 1999 (2 years)BSUTRO & CO. INCORPORATED (CRD# 801)1996 - 1996 (<1 year)BEVEREN SECURITIES, INC. (CRD# 19616)1994 - 1996 (1 year)BBA INVESTMENT SERVICES, INC. (CRD# 12965)1992 - 1994 (2 years)BFOUR SEASONS SECURITIES, INC. (CRD# 24586)1989 - 1992 (2 years)BINVESTMENT PLACEMENT GROUP (CRD# 14458)1989 - 1990 (<1 year)BFIRST WALL STREET CORP. (CRD# 13024)1988 - 1989 (<1 year)BSMITH BARNEY, HARRIS UPHAM & C... (CRD# 7059)1986 - 1988 (2 years)BSAN DIEGO SECURITIES INCORPORATED (CRD# 4136)1984 - 1986 (1 year)BLA JOLLA SECURITIES, INC. (CRD# 8182)1983 - 1984 (1 year)BSUTRO & CO. INCORPORATED (CRD# 801)1982 - 1983 (<1 year)BBACHE HALSEY STUART SHIELDS IN... (CRD# 7471)1981 - 1981 (<1 year)BENI CORPORATION (CRD# 5693)1980 - 1980 (<1 year)IASEQUOIA WEALTH ADVISORS & INVE... (CRD# 285462)2020 - 2022 (2 years)IATORREY PINES SECURITIES, INC. (CRD# 17120)2011 - 2011 (<1 year)IACAMBRIDGE INVESTMENT RESEARCH ... (CRD# 134139)2005 - 2009 (4 years)IACAMBRIDGE INVESTMENT RESERARCH... (CRD# 39543)2002 - 2005 (2 years)
License(s)

State Registrations

B
California 11/1/2018
B
Nevada 8/18/2023
IA
California 11/1/2018
IA
Nevada 8/18/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
LAS VEGAS, NV
Registered with this firm since 11/1/2018
B
LPL FINANCIAL LLC (CRD#:6413)
LAS VEGAS, NV
Registered with this firm since 11/1/2018
Previous Registration(s)
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IA
 03/30/2020 - 09/17/2022 SEQUOIA WEALTH ADVISORS & INVESTMENT MANAGEMENT, INC. (CRD#:285462) SAN JOSE, CA
IA
 07/16/2014 - 09/19/2018 LPL FINANCIAL LLC (CRD#:6413) SAN DIEGO, CA
B
 07/15/2014 - 09/19/2018 LPL FINANCIAL LLC (CRD#:6413) FORT MILL, SC
IA
 02/05/2014 - 04/04/2014 LASALLE ST. INVESTMENT ADVISORS, L.L.C. (CRD#:109701) SAN DIEGO, CA
B
 02/03/2014 - 04/04/2014 LASALLE ST SECURITIES, L.L.C. (CRD#:7191) SAN DIEGO, CA
IA
 10/10/2012 - 01/20/2014 SECURITIES AMERICA ADVISORS, INC. (CRD#:110518) SAN DIEGO, CA
B
 10/05/2012 - 01/20/2014 SECURITIES AMERICA, INC. (CRD#:10205) SAN DIEGO, CA
B
 03/12/2012 - 07/25/2012 TORREY PINES WEALTH MANAGEMENT, INC. (CRD#:155246) SAN MARCOS, CA
B
 04/25/2011 - 02/17/2012 TORREY PINES SECURITIES, INC. (CRD#:17120) SAN DIEGO, CA
IA
 04/26/2011 - 12/30/2011 TORREY PINES SECURITIES, INC. (CRD#:17120) SAN DIEGO, CA
IA
 04/08/2009 - 04/21/2011 GIRARD SECURITIES, INC. (CRD#:18697) SAN DIEGO, CA
B
 04/08/2009 - 04/21/2011 GIRARD SECURITIES, INC. (CRD#:18697) SAN DIEGO, CA
IA
 03/28/2005 - 04/13/2009 CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. (CRD#:134139) SAN DIEGO, CA
B
 05/20/2002 - 04/13/2009 CAMBRIDGE INVESTMENT RESEARCH, INC. (CRD#:39543) SAN DIEGO, CA
IA
 05/20/2002 - 03/28/2005 CAMBRIDGE INVESTMENT RESERARCH, INC. (CRD#:39543) SAN DIEGO, CA
B
 02/02/2001 - 05/20/2002 MUTUAL SECURITIES, INC. (CRD#:13092) CAMARILLO, CA
B
 05/07/1999 - 02/05/2001 FSC SECURITIES CORPORATION (CRD#:7461) ATLANTA, GA
B
 11/01/1996 - 05/06/1999 SPELMAN & CO., INC. (CRD#:10232) PHOENIX, AZ
B
 03/12/1996 - 11/11/1996 SUTRO & CO. INCORPORATED (CRD#:801) SAN FRANCISCO, CA
B
 11/15/1994 - 03/01/1996 EVEREN SECURITIES, INC. (CRD#:19616) ST. LOUIS, MO
B
 08/05/1992 - 10/17/1994 BA INVESTMENT SERVICES, INC. (CRD#:12965) OAKLAND, CA
B
 09/06/1989 - 08/10/1992 FOUR SEASONS SECURITIES, INC. (CRD#:24586)
B
 06/07/1989 - 02/06/1990 INVESTMENT PLACEMENT GROUP (CRD#:14458) SAN DIEGO, CA
B
 06/01/1988 - 05/11/1989 FIRST WALL STREET CORP. (CRD#:13024)
B
 04/23/1986 - 06/07/1988 SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (CRD#:7059)
B
 08/16/1984 - 04/21/1986 SAN DIEGO SECURITIES INCORPORATED (CRD#:4136)
B
 06/28/1983 - 08/28/1984 LA JOLLA SECURITIES, INC. (CRD#:8182)
B
 02/17/1982 - 01/03/1983 SUTRO & CO. INCORPORATED (CRD#:801)
B
 02/09/1981 - 11/25/1981 BACHE HALSEY STUART SHIELDS INCORPORATED (CRD#:7471)
B
 07/11/1980 - 12/14/1980 ENI CORPORATION (CRD#:5693)
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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
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