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Michael S Lee

Cetera Investment Advisers LLC

Pasadena, CA

Iselin, NJ

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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
TX RA APPROVED_RES 2025-04-10
NJ RA APPROVED 2021-09-07
  • TX RA
    APPROVED_RES
    Since 2025-04-10
  • NJ RA
    APPROVED
    Since 2021-09-07

Branch Locations

155 North Lake Avenue Suite 430, Pasadena, CA 91101 • United States

485 Us Highway 1 South Bldg C; Suite 120, Iselin, NJ 08830 • 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
Unemployed Summit NJ 01/2018 08/2019
Bogapa Enterprises, Inc. Brooklyn NY 11/2008 12/2017
Axa Advisors, Llc New York NY 08/2019 06/2020
Equitable Advisors, Llc New York NY 08/2019 Present
Bank Of Hope Los Angeles CA 09/2021 Present
Cetera Investment Services Llc St Cloud MN 09/2021 Present
Cetera Investment Advisers Llc Los Angeles CA 09/2021 Present
  • 01/2018 → 08/2019
    Unemployed
    Summit, NJ
  • 11/2008 → 12/2017
    Bogapa Enterprises, Inc.
    Brooklyn, NY
  • 08/2019 → 06/2020
    Axa Advisors, Llc
    New York, NY
  • 08/2019 → Present
    Equitable Advisors, Llc
    New York, NY
  • 09/2021 → Present
    Bank Of Hope
    Los Angeles, CA
  • 09/2021 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 09/2021 → Present
    Cetera Investment Advisers Llc
    Los Angeles, CA
Previous Registrations
Other Businesses

1. MSL CAPITAL MANAGEMENT GROUP, DBA FOR CETERA BUSINESS, 100% OWNER 2. VOLUNTEER CERTIFIED FINANCIAL COACH FOR DFREE GLOBAL FOUNDATION, 3/HRS/WK

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-10-28
  • S66 Uniform Combined State Law Examination
    2019-10-28
Designations
Other Names
  • Michael Lee
  • Michael S Lee

View on SEC IAPD

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Other Investors

CHRISTOPHER LEU
JAY EDWIN LOMETILLO
Salvador Rodriguez
Angel Kam Fung Chen
Jaymie BRIAN Wetzel
ALISA JANE CHANPONG
HEIDI PUI WA LEU
Mui Fan CHAN Graca

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
NASDAQ DORSEY WRIGHT · Pasadena, CA
U.S. BANCORP ADVISORS, LLC · Pasadena, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Pasadena, CA

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