Gavin Andrew Lee

Current Employers

Employment History

• 03/2004 → 05/2019
  Wells Fargo Advisors Llc
  Pasadena, CA
• 05/2019 → Present
  Raymond James Financial Services, Inc.
  Pasadena, CA
• 05/2019 → Present
  Raymond James Financial Services Advisors, Inc.
  Pasadena, CA

Previous Registrations

• 2004-03-15 → 2019-05-28
  Wells Fargo Clearing Services, Llc
  Pasadena, CA
  Pasadena, CA
• 1997-07-08 → 2004-03-22
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Los Angeles, CA

Other Businesses

(1)Name of Business: Address: 625 Sierra Meadows Drive, Sierra Madre, CA, 91024, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 10/31/2019 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I receive renewal income of approximately $100 a year from Health Insurance (Trustmark) I wrote as a Blue Cross agent over 20 years ago. (2)Name of Business: Arroyo Capital Partners Address: 790 East Colorado Blvd. Suite 590, Pasadena, CA, 91101, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 05/23/2019 Hours per month devoted to this business: 21-40 Hours per month devoted to this business during trading hours: 21-40 Description of duties: Partner, FA RJFS (3)Name of Business: Personal Investment Address: 625 Sierra Meadows Dr, Sierra Madre, CA, 91024, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 05/10/2021 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Vacation Condo for personal use; Rented out seasonally under a lease agreement.

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-06-10
• S63 Uniform Securities Agent State Law Examination
  1993-12-01