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Quan Wei Lee

Charles Schwab & Co., Inc.

Brea, CA

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Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-01-26
  • CA RA
    APPROVED
    Since 2022-01-26

Branch Locations

3421 E. Imperial Highway Suite E-1, Brea, CA 92823 • 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
Scottrade, Inc. Rowland Heights CA 11/2006 09/2018
Td Ameritrade, Inc. Rowland Heights CA 02/2018 12/2022
Td Ameritrade Investment Management, Llc Omaha NE 02/2018 12/2022
Charles Schwab And Co., Inc. Rowland Heights CA 12/2022 Present
Charles Schwab Bank Ssb Rowland Heights CA 07/2024 Present
  • 11/2006 → 09/2018
    Scottrade, Inc.
    Rowland Heights, CA
  • 02/2018 → 12/2022
    Td Ameritrade, Inc.
    Rowland Heights, CA
  • 02/2018 → 12/2022
    Td Ameritrade Investment Management, Llc
    Omaha, NE
  • 12/2022 → Present
    Charles Schwab And Co., Inc.
    Rowland Heights, CA
  • 07/2024 → Present
    Charles Schwab Bank Ssb
    Rowland Heights, CA
Previous Registrations
  • 2018-02-26 → 2023-09-07
    Td Ameritrade Investment Management, Llc
    Omaha, NE
    Rowland Heights, CA
    Brea, CA
  • 2018-02-27 → 2022-10-14
    Td Ameritrade, Inc.
    Rowland Heights, CA
    Brea, CA
    Omaha, NE
  • 2016-09-19 → 2018-02-26
    Scottrade Investment Management
    Saint Louis, MO
  • 2003-04-28 → 2006-11-17
    Td Ameritrade, Inc.
    Monterey Park, CA
    Pasadena, CA
  • 2006-04-25 → 2006-11-17
    Td Ameritrade Investment Management, Llc
    Pasasena, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-01-04
S63 Uniform Securities Agent State Law Examination 1997-12-04
  • S65 Uniform Investment Adviser Law Examination
    2001-01-04
  • S63 Uniform Securities Agent State Law Examination
    1997-12-04
Other Names
  • Quan Wei Lee
  • Quan Wei Li

View on SEC IAPD

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PETER O PAIK
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KEVIN OWEN SIMON
CHRISTINA MOON

Other Offices

INVESTLINC WEALTH SERVICES · BREA, CA
MORGAN STANLEY · Brea, CA
LPL FINANCIAL LLC · BREA, CA
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · BREA, CA
LPL FINANCIAL LLC · Brea, CA
OSAIC WEALTH, INC. · BREA, CA
MINISTRY PARTNERS SECURITIES, LLC · BREA, CA
MINISTRY PARTNERS SECURITIES, LLC · BREA, CA

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