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Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-05-01
CA RA APPROVED 2023-04-28
  • TX RA
    APPROVED_RES
    Since 2023-05-01
  • CA RA
    APPROVED
    Since 2023-04-28

Branch Locations

9595 Wilshire Blvd. Suite 801 And 200, Beverly Hills, CA 90212 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Beverly Hills CA 03/2010 11/2019
Bank Of America,N.A. Beverly Hills CA 06/2011 11/2019
Wedbush Securities Inc. Los Angeles CA 12/2019 04/2023
Raymond James & Associates, Inc. Beverly Hills CA 04/2023 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-07-02
S63 Uniform Securities Agent State Law Examination 1992-09-28
  • S66 Uniform Combined State Law Examination
    2010-07-02
  • S63 Uniform Securities Agent State Law Examination
    1992-09-28
Other Names
  • Andrew Hyeung Lee
  • Andrew Lee

View on SEC IAPD

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