Alexander Dong-Shik Lee

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2015 → Present
  Ascendant Llp
  Glendale, CA
• 09/2023 → 02/2026
  The Leaders Group Inc
  Littleton, CO
• 12/2025 → Present
  Cetera Investment Advisers Llc
  Pasadena, CA
• 12/2025 → Present
  Cetera Investment Services Llc
  Saint Cloud, MN

Previous Registrations

• 2023-12-20 → 2026-02-10
  Tlg Advisors, Inc.
  Glendale, CA
  Summit, NJ
• 2011-12-19 → 2015-03-19
  Eagle Strategies Llc
  Addison, TX
  Glendale, CA
  New York, NY

Other Businesses

1.) ASCENDANT LLP, LAW PRACTICE, 33.33% OWNER.

Exams

• S65 Uniform Investment Adviser Law Examination
  2023-12-06
• S63 Uniform Securities Agent State Law Examination
  2010-10-16

Other Names

• Dong-Shik Lee