AL
Antonios K. Lee
CETERA INVESTMENT ADVISERS LLC
BREA, CA
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CRD#: 1762212
AL
Professional summary
Antonios Kwangyun Lee, who also goes by Tony Lee, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Brea, California and CETERA WEALTH SERVICES, LLC located in Brea, California.
Antonios is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Antonios has worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tony 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) Yong H Kim & Antonios K Lee 9828 GARDEN GROVE BLVD STE 213~GARDEN GROVE~CA~92844~Rental Property Owner/Management~Partner/General Partner~6/14/1991~2hrs~0hrs~MANAGING RENTAL REAL ESTATE. 2) CHIN G KIM & ANTONIOS K LEE POSITION: Partner/General Partner NATURE: Rental Property Owner/Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 08/04/1988 ADDRESS: 2544 Portarosa Lane, Brea CA 92821, United States DESCRIPTION: MANAGING RENTAL REAL ESTATE 3)DEAN INVESTMENT INC POSITION: President NATURE: Rental Property Management INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 07/25/1984 ADDRESS: 2544 Portarosa Lane, Brea CA 92821, United States DESCRIPTION: MANAGING RENTAL REAL ESTATE 4)SOOK G KIM & ANTONIOS K LEE POSITION: Partner/General Partner NATURE: Rental Property Owner/Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 06/14/1991 ADDRESS: 2544 Portarosa Lane, Brea CA 92821, United States DESCRIPTION: MANAGING RENTAL REAL ESTATE
CRS (Client Relationship Summary) - RIA
Click below to view Antonios Kwangyun Lee's 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®
NoneExperience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
BREA, CA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Brea, CA
Past
May 24, 2011 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Brea, CA
Past
November 17, 1998 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Brea, CA
Past
June 12, 1998 - October 13, 1998
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Past
November 5, 1987 - June 10, 1998
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.RR
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
RR
California(9/5/2025)
IAR
California(9/5/2025)
RR
Utah(9/5/2025)
RR
Washington(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
