Cindy Wei Lee

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2022-09-02

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Walnut Creek	CA	03/2010	08/2022
Bank Of America,N.A.	Pleasanton	CA	06/2011	08/2022
Morgan Stanley	Walnut Creek	CA	08/2022	Present
Morgan Stanley Private Bank, N.A.	Walnut Creek	CA	08/2022	Present

03/2010 → 08/2022

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Walnut Creek, CA
06/2011 → 08/2022

Bank Of America,N.A.

Pleasanton, CA
08/2022 → Present

Morgan Stanley

Walnut Creek, CA
08/2022 → Present

Morgan Stanley Private Bank, N.A.

Walnut Creek, CA

2010-04-13 → 2022-08-15

Merrill Lynch, Pierce, Fenner & Smith Incorporated

San Francisco, CA

Palo Alto, CA

Lincoln, RI

Oakland, CA

Walnut Creek, CA

Menlo Park, CA

Pleasanton, CA

New York, NY

New York, NY

New York, NY
2008-04-18 → 2009-06-01

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Palo Alto, CA
2001-05-21 → 2008-04-21

Banc Of America Investment Services, Inc.

San Jose, CA

Menlo Park, CA

Menlo Park, CA

Los Altos, CA

San Jose, CA

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-05-05
S63	Uniform Securities Agent State Law Examination	2001-02-10

Other Firms