Stephanie Jeanne Lee

Employer firm

East Rock Financial Services, LLC CRD 147949

$136M regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)

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

Current Employers

East Rock Financial Services, Llc

Burlingame, CA • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2008-11-20

CA RA
APPROVED

Since 2008-11-20

Branch Locations

Burlingame, 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

Organization	City	State	From	To
East Rock Financial Services, Llc	San Francisco	CA	09/2008	Present

09/2008 → Present

East Rock Financial Services, Llc

San Francisco, CA

Other Businesses

MUSICIAN UNDER MY NAME, NOT INVESTMENT RELATED, 330 BLOOMFIELD RD, BURLINGAME, CA, 94010, SOLE PROPRIETOR, STARTED 1987, APPROX. 40 HRS. PER MONTH, NONE DURING SECURITIES TRADING HOURS, DUTIES ARE TO PERFORM MUSIC.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2008-06-28

S65 Uniform Investment Adviser Law Examination

2008-06-28

Designations

Certified Financial Planner

Other Names

Stephanie Jeanne Lee
Stephanie Jeanne Lee

View on SEC IAPD