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Alexander Dong-Shik Lee

Cetera Investment Advisers LLC

Pasadena, CA

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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2026-02-06
  • CA RA
    APPROVED
    Since 2026-02-06

Branch Locations

155 North Lake Avenue Suite 430, Pasadena, CA 91101 • 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
Ascendant Llp Glendale CA 04/2015 Present
The Leaders Group Inc Littleton CO 09/2023 02/2026
Cetera Investment Advisers Llc Pasadena CA 12/2025 Present
Cetera Investment Services Llc Saint Cloud MN 12/2025 Present
  • 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
Other Businesses

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

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-12-06
S63 Uniform Securities Agent State Law Examination 2010-10-16
  • S65 Uniform Investment Adviser Law Examination
    2023-12-06
  • S63 Uniform Securities Agent State Law Examination
    2010-10-16
Other Names
  • Dong-Shik Lee

View on SEC IAPD

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Other Offices

CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PASADENA, CA
STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA
MML INVESTORS SERVICES, LLC · Pasadena, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PASADENA, CA
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