Steven Sok Lee

Employer firm

Raymond James Financial Services Advisors, Inc CRD 149018

$390B regulatory AUM 5,542 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2014 → Present
  Raymond James Financial Services, Inc
  Brea, CA
• 10/2014 → Present
  Raymond James Financial Services Advisors Inc.
  Brea, CA

Previous Registrations

• 2008-12-10 → 2014-10-21
  Hilltop Securities Inc.
  Sherman Oaks, CA
• 2004-04-29 → 2008-12-31
  M.L. Stern & Co., Llc.
  Beverly Hills, CA
  Beverly Hills, CA

Other Businesses

(1)Name of Business: Fixed Insurance Business w/ Optimzed insurance planning Address: 3 Pointe Dr Ste 104, Brea, CA, 92821, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 02/19/2020 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: We were granted permission as a condition of our transition to be able to write insurance and fixed insurance / annuity products outside of Raymond James. We were under the assumption that this was already acknowledged by home office. (2)Name of Business: steve lee, inc Address: 3 Pointe Dr Ste 104, Brea, CA, 92821-7623, United States Activity Type: Support Company - Owner Position/Title: Officer - President Investment Related: No Start Date: 01/01/2022 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Owner of my own RJ independent business (3)Name of Business: Steven Lee Wealth Management Address: 1904 Manning Ave #200, Los Angeles, CA, 90025, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 07/28/2025 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Owner - Financial Planner and principal

Exams

• S65 Uniform Investment Adviser Law Examination
  2003-03-10
• S63 Uniform Securities Agent State Law Examination
  1999-10-18

Other Names

• Steve S Lee
• Steve S Lee
• Steve S Lee
• Steven Sok Jin Lee
• Chin Sok Lee