Best Investors Account Sign in
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2014-04-17
TX RA APPROVED 2014-04-17
  • CA RA
    APPROVED
    Since 2014-04-17
  • TX RA
    APPROVED
    Since 2014-04-17

Branch Locations

333 S Hope St, Los Angeles, CA 90071 • United States

Pasadena, CA • United States

Disclosures

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

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Bernardino CA 04/2014 Present
Previous Registrations
  • 2010-04-23 → 2013-11-15
    Bancwest Investment Services, Inc.
    Orosi, CA
    Riverdale, CA
    Fresno, CA
    Tehachapi, CA
    Pasadena, CA
    Pasadena, CA
    City Of Industry, CA
    Dinuba, CA
    Clovis, CA
    Hanford, CA
    Tulare, CA
    Fresno, CA
    Fresno, CA
    Corcoran, CA
    Parlier, CA
    Sanger, CA
    Bellflower, CA
    City Of Commerce, CA
    Pasadena, CA
    Sierra Madre, CA
    Sacramento, CA
    Visalia, CA
    Bakersfield, CA
    Long Beach, CA
    Fresno, CA
    Downey, CA
    Lakewood, CA
    Monterey Park, CA
    Patterson, CA
    Modesto, CA
    Turlock, CA
    Newport Beach, CA
    Mission Viejo, CA
    South Gate, CA
    Culver City, CA
    Bellflower, CA
    La Habra, CA
    Spring Valley, CA
    Sherman Oaks, CA
    Anaheim, CA
    Pico Rivera, CA
    Pasadena, CA
    La Mesa, CA
    Santee, CA
    Santa Barbara, CA
    City Of Industry, CA
    Huntington Beach, CA
    Downey, CA
    Compton, CA
    Santa Monica, CA
    Glendale, CA
    Garden Grove, CA
    Ventura, CA
    Oxnard, CA
    Santa Barbara, CA
    Stanton, CA
    Anaheim, CA
    Foothill Ranch, CA
    San Clemente, CA
    San Diego, CA
    Encino, CA
    Northridge, CA
    Santa Ana, CA
    La Mirada, CA
    Covina, CA
    Woodland Hills, CA
    Thousand Oaks, CA
    Irvine, CA
    Rancho Cucamonga, CA
    Pasadena, CA
    Santa Ana, CA
    Beverly Hills, CA
    Northridge, CA
    Valencia, CA
    Spring Valley, CA
    Sierra Madre, CA
    Tustin, CA
    Santa Fe Springs, CA
    Bell Gardens, CA
    Redondo Beach, CA
    City Of Commerce, CA
    Pasadena, CA
    Rosemead, CA
    Baldwin Park, CA
    Fullerton, CA
    Lakewood, CA
    Los Angeles, CA
    Torrance, CA
    Gardena, CA
    San Marino, CA
    Los Angeles, CA
    West Covina, CA
    Monterey Park, CA
    So Pasadena, CA
    Alhambra, CA
    Rowland Heights, CA
    Los Angeles, CA
    Los Angeles, CA
    Los Angeles, CA
    Torrance, CA
    Irvine, CA
    Arcadia, CA
    Temple City, CA
    Cerritos, CA
    Westminster, CA
    Alhambra, CA
    Huntington Beach, CA
    San Jose, CA
    San Francisco, CA
    Newport Beach, CA
    Hughson, CA
    Santa Ana, CA
    Santa Ana, CA
    Ceres, CA
    Modesto, CA
    San Francisco, CA
    Newport Beach, CA
    Irvine, CA
    Stanton, CA
    Burbank, CA
    Burbank, CA
    Chino, CA
    Baldwin Park, CA
    Garden Grove, CA
    Tustin, CA
    Anaheim, CA
    Anaheim, CA
    Brea, CA
    S. Lake Tahoe, CA
    Sparks, NV
    Tahoe City, CA
    Kings Beach, CA
    Reno, NV
    Carson City, NV
    Gridley, CA
    Sacramento, CA
    Oroville, CA
    Chico, CA
    Citrus Heights, CA
    Grass Valley, CA
    Grass Valley, CA
    Sacramento, CA
    Stockton, CA
    Stockton, CA
    Stockton, CA
    Folsom, CA
    Elk Grove, CA
    Woodland, CA
    Sacramento, CA
    Auburn, CA
    Sacramento, CA
    Roseville, CA
    Carmichael, CA
    Chatsworth, CA
    La Mesa, CA
    El Cajon, CA
    Santee, CA
    Spring Valley, CA
    San Diego, CA
    Modesto, CA
    Waterford, CA
    Ripon, CA
    Oakdale, CA
    Newman, CA
    Escalon, CA
    Manteca, CA
    Modesto, CA
    Tracy, CA
    Stockton, CA
    Lodi, CA
    Stockton, CA
    Lockeford, CA
    Stockton, CA
    Stockton, CA
    Stockton, CA
    La Habra, CA
    La Mirada, CA
    Truckee, CA
    South Gate, CA
    Henderson, NV
    Santa Fe Springs, CA
    Las Vegas, NV
    North Las Vegas, NV
    Compton, CA
    Las Vegas, NV
    Bell Gardens, CA
    Pico Rivera, CA
    Las Vegas, NV
    Las Vegas, NV
    Rosemead, CA
    Covina, CA
    Foothill Ranch, CA
    San Jose, CA
    Santa Clara, CA
    Mission Viejo, CA
    Union City, CA
    San Jose, CA
    Rancho Cucamonga, CA
    Huntington Beach, CA
    Fullerton, CA
    San Clemente, CA
  • 2009-05-02 → 2010-04-26
    Chase Investment Services Corp.
    Anaheim, CA
    Anaheim, CA
    Anaheim, CA
    Desert Hot Springs, CA
    Eastvale, CA
    Moreno Valley, CA
    Rancho Mirage, CA
    Rialto, CA
    Chino Hills, CA
    San Bernardino, CA
    Baldwin Park, CA
    Calimesa, CA
    Banning, CA
    Beaumont, CA
    Pomona, CA
    Claremont, CA
    Glendora, CA
    Palm Desert, CA
    Palm Springs, CA
    Montclair, CA
    Chino Hills, CA
    Fontana, CA
    Rancho Cucamonga, CA
    Ontario, CA
    Fontana, CA
    Rancho Cucamonga, CA
    Fontana, CA
    Azusa, CA
    Indio, CA
    San Bernardino, CA
    Upland, CA
    Chino, CA
    Upland, CA
    Chino, CA
    San Dimas, CA
    La Verne, CA
    Moreno Valley, CA
    San Bernardino, CA
    Redlands, CA
    Yucaipa, CA
    Yucca Valley, CA
    Highland, CA
    La Quinta, CA
  • 2009-02-09 → 2009-05-02
    Wamu Investments, Inc.
    Anaheim, CA
    Anaheim, CA
    Anaheim, CA
  • 2007-04-19 → 2009-01-29
    Irvine, CA
  • 2003-08-20 → 2005-08-16
    Wamu Investments, Inc.
    Irvine, CA
  • 2002-05-01 → 2003-07-09
    Irvine, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-11-26
  • S66 Uniform Combined State Law Examination
    2001-11-26
Other Names
  • Stephen W. Lee
  • Stephen W. Lee
  • Stephen Wellen Lee

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Los Angeles, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor