Stephen Matthew Lee

Current Employers

Cetera Investment Advisers Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2023-08-31
CA	RA	APPROVED	2023-06-29

TX RA
APPROVED

Since 2023-08-31
CA RA
APPROVED

Since 2023-06-29

Branch Locations

2300 First Street Ste 350, Livermore, CA 94550 • United States

3075 Citrus Circle Suite 101, Walnut Creek, CA 94598 • 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

Organization	City	State	From	To
New York City Department Of Small Business Services	New York	NY	10/2015	03/2023
Cetera Wealth Services, Llc	El Segundo	CA	07/2021	Present
Ian Lee	Concord	CA	07/2021	01/2023
Cetera Investment Advisers Llc	Schaumburg	IL	06/2023	Present
Redwood Wealth	Concord	CA	09/2025	Present

10/2015 → 03/2023

New York City Department Of Small Business Services

New York, NY
07/2021 → Present

Cetera Wealth Services, Llc

El Segundo, CA
07/2021 → 01/2023

Ian Lee

Concord, CA
06/2023 → Present

Cetera Investment Advisers Llc

Schaumburg, IL
09/2025 → Present

Redwood Wealth

Concord, CA

Other Businesses

NAME OF OTHER BUSINESS: REDWOOD WEALTH; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 9/2025, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2022-06-29

S66 Uniform Combined State Law Examination

2022-06-29