Anthony Y. Lee

CETERA INVESTMENT ADVISERS LLC

CHATHAM, NJ

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CRD#: 1296851

Professional summary

Anthony You Ding Lee, who also goes by Anthony Youding Lee, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Chatham, New Jersey and CETERA ADVISORS LLC located in Short Hills, New Jersey.

Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Anthony has worked at 13 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Anthony Youding Lee

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1.) ANTHONY LEE; AGENT; INSURANCE; START DATE: 12/1/2008. 2.) COMMERCE AND INDUSTRY ASSOCIATION OF NEW JERSEY. MEMBER. START DATE 1/31/2011. 3.) MONTGOMERY ACADEMY FOUNDATION; TRUSTEE; NON-PROFIT ORGANIZATION; START DATE 09/15/2011; 8 HOURS PER MONTH. 4.) SEND OUT CARDS; OTHER; OTHER; START DATE 12/01/2011; 4 HRS. PER MONTH. 5.) ADP; Referral Consultant; Consulting; start date 08/01/2016; 4 hours per month. 6.) CARDINAL HILL WEALTH ADVISORY GROUP; PRESIDENT; DBA )ONLY OFFERS FIRST ALLIED PRODUCTS/SERVICES) START DATE 12/23/2020; 160 HOURS PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony You Ding Lee's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 12, 2020 - Present

CETERA INVESTMENT ADVISERS LLC

Office #2: 51 Jfk Parkway Suite 110, Short Hills, NJ 07078

RIA

CRD#: 105644

CHATHAM, NJ

Current

September 8, 2022 - Present

CETERA ADVISORS LLC

Office #1: 51 Jfk Parkway First Floor West, Short Hills, NJ 07078

CRD#: 10299

Short Hills, NJ

Past

July 2, 2012 - November 12, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

Short Hills, NJ

Past

December 9, 2008 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

Short Hills, NJ

Past

December 9, 2008 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

Short Hills, NJ

Past

January 12, 2001 - December 9, 2008

FIRST MONTAUK SECURITIES CORP.

RIA

CRD#: 13755

FLORHAM PARK, NJ

Past

July 21, 1998 - December 9, 2008

FIRST MONTAUK SECURITIES CORP.

CRD#: 13755

FLORHAM PARK, NJ

Past

June 23, 1995 - July 15, 1998

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

NEW YORK, NY

Past

June 6, 1992 - June 21, 1995

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

Past

January 13, 1992 - May 12, 1992

PRIME CHARTER LTD.

CRD#: 25668

NEW YORK, NY

Past

April 16, 1990 - December 13, 1990

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

January 29, 1988 - April 25, 1990

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

June 8, 1987 - May 31, 1988

L. F. ROTHSCHILD & CO. INCORPORATED

CRD#: 501

Past

February 5, 1986 - January 16, 1987

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Past

February 21, 1985 - July 18, 1987

MACPEG, ROSS, O'CONNELL & GOLDABER, INC.

CRD#: 8297

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(9/8/2022)

Connecticut
(9/8/2022)

District of Columbia
(9/8/2022)

Florida
(9/8/2022)

Hawaii
(9/8/2022)

Nevada
(2/28/2025)

IAR

New Jersey
(11/12/2020)

New Jersey
(9/8/2022)

New York
(9/8/2022)

Virginia
(9/8/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/31/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/21/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/16/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/27/1999

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Anthony Y. Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony You Ding Lee's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST MONTAUK SECURITIES CORP.

FIRST MONTAUK SECURITIES CORP.

GLEACHER & COMPANY SECURITIES, INC.

JOSEPHTHAL & CO., INC.

PRIME CHARTER LTD.

UBS FINANCIAL SERVICES INC.

CIBC WORLD MARKETS CORP.

L. F. ROTHSCHILD & CO. INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

MACPEG, ROSS, O'CONNELL & GOLDABER, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/31/1996

Series 63

Date: 12/21/1985

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/16/1985

Series 24

Date: 2/27/1999

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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