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Nicholas Lee

Edelman Financial Engines

Los Angeles, CA

CRD 7201906

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Employer firm

Edelman Financial Engines CRD 104510

$326B regulatory AUM 322,130 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Edelman Financial Engines

3945 Freedom Circle, Santa Clara, CA 95054 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-08-12
CA RA APPROVED 2022-08-11
  • TX RA
    APPROVED_RES
    Since 2022-08-12
  • CA RA
    APPROVED
    Since 2022-08-11

Branch Locations

Los Angeles, CA • 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
Pruco Securities Llc Orange CA 11/2019 06/2020
Nordstrom Brea CA 06/2016 11/2020
University Of Oregon Eugene OR 09/2014 06/2018
Raymond James & Associates, Inc. Los Angeles CA 02/2021 02/2022
Financial Engines Advisors L.L.C. Santa Clara CA 08/2022 Present
Unemployed Fullerton CA 02/2022 08/2022
  • 11/2019 → 06/2020
    Pruco Securities Llc
    Orange, CA
  • 06/2016 → 11/2020
    Nordstrom
    Brea, CA
  • 09/2014 → 06/2018
    University Of Oregon
    Eugene, OR
  • 02/2021 → 02/2022
    Raymond James & Associates, Inc.
    Los Angeles, CA
  • 08/2022 → Present
    Financial Engines Advisors L.L.C.
    Santa Clara, CA
  • 02/2022 → 08/2022
    Unemployed
    Fullerton, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-06-02
  • S66 Uniform Combined State Law Examination
    2020-06-02
Other Names
  • Nick Lee
  • Nicholas Ji-Won Lee

View on SEC IAPD

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