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Steve Lee

Cetera Investment Advisers LLC

Pasadena, CA

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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-06-27
TX RA APPROVED_RES 2024-06-27
  • CA RA
    APPROVED
    Since 2024-06-27
  • TX RA
    APPROVED_RES
    Since 2024-06-27

Branch Locations

135 N Los Robles Avenue, Pasadena, CA 91101 • 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
Bank Of The West San Francisco CA 04/2013 08/2017
Bancwest Investment Services San Francisco CA 04/2013 08/2017
U.S. Bancorp Investments, Inc. San Francisco CA 09/2017 11/2018
U.S. Bancorp Investments, Inc. Chino CA 02/2019 09/2021
Unemployed Diamond Bar CA 12/2018 01/2019
J.P. Morgan Securities Llc La Habra CA 09/2021 04/2022
Jp Morgan Chase Bank, N.A. La Habra CA 09/2021 04/2022
Citigroup Whittier CA 05/2022 06/2024
East West Bank Pasadena CA 06/2024 Present
Cetera Investment Services Llc St Cloud MN 06/2024 Present
Cetera Investment Advisers Llc Pasadena CA 06/2024 Present
  • 04/2013 → 08/2017
    Bank Of The West
    San Francisco, CA
  • 04/2013 → 08/2017
    Bancwest Investment Services
    San Francisco, CA
  • 09/2017 → 11/2018
    U.S. Bancorp Investments, Inc.
    San Francisco, CA
  • 02/2019 → 09/2021
    U.S. Bancorp Investments, Inc.
    Chino, CA
  • 12/2018 → 01/2019
    Unemployed
    Diamond Bar, CA
  • 09/2021 → 04/2022
    J.P. Morgan Securities Llc
    La Habra, CA
  • 09/2021 → 04/2022
    Jp Morgan Chase Bank, N.A.
    La Habra, CA
  • 05/2022 → 06/2024
    Citigroup
    Whittier, CA
  • 06/2024 → Present
    East West Bank
    Pasadena, CA
  • 06/2024 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 06/2024 → Present
    Cetera Investment Advisers Llc
    Pasadena, CA
Previous Registrations
Other Businesses

1.) CHILD SPORT’S COACH VOLUNTEER, 3/HRS/WK.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-07-14
  • S66 Uniform Combined State Law Examination
    2009-07-14
Other Names
  • Chu Young Lee

View on SEC IAPD

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Other Offices

CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PASADENA, CA
STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA
MML INVESTORS SERVICES, LLC · Pasadena, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PASADENA, CA
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