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Har Ming Lee

Cetera Investment Advisers LLC

Flushing, NY

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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
NY RA APPROVED 2024-04-25
  • NY RA
    APPROVED
    Since 2024-04-25

Branch Locations

42-08 Main Street, Flushing, NY 11355 • 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
Citibank Manhattan NY 12/2015 06/2017
East West Bank Manhattan NY 06/2017 05/2023
Cetera Investment Services Llc St Cloud MN 12/2017 05/2023
Cetera Investment Advisers Llc New York NY 03/2021 05/2023
Royal Business Bank Flushing NY 06/2023 Present
Cetera Investment Services Llc St Cloud MN 04/2024 Present
Cetera Investment Advisers Llc Flushing NY 04/2024 Present
  • 12/2015 → 06/2017
    Citibank
    Manhattan, NY
  • 06/2017 → 05/2023
    East West Bank
    Manhattan, NY
  • 12/2017 → 05/2023
    Cetera Investment Services Llc
    St Cloud, MN
  • 03/2021 → 05/2023
    Cetera Investment Advisers Llc
    New York, NY
  • 06/2023 → Present
    Royal Business Bank
    Flushing, NY
  • 04/2024 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 04/2024 → Present
    Cetera Investment Advisers Llc
    Flushing, NY
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2012-06-04
  • S63 Uniform Securities Agent State Law Examination
    2012-06-04
Other Names
  • Hai Ming Li
  • Sam Lee

View on SEC IAPD

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