Paul A. Lee
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Paul Alexander Lee was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1990. Paul had worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 2, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2019 - February 17, 2021
CETERA INVESTMENT ADVISERS LLC
September 10, 2019 - February 17, 2021
CETERA INVESTMENT SERVICES LLC
March 23, 2018 - August 17, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 12, 2018 - August 17, 2018
TD AMERITRADE, INC.
March 12, 2018 - August 17, 2018
TD AMERITRADE, INC.
June 13, 2008 - June 6, 2016
CHARLES SCHWAB & CO., INC.
July 10, 1997 - June 6, 2016
CHARLES SCHWAB & CO., INC.
September 23, 1994 - October 27, 1995
CHARLES SCHWAB & CO., INC.
July 12, 1993 - August 22, 1994
NATIONSSECURITIES
July 25, 1990 - July 12, 1993
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 10/4/2022
General Securities Representative ExaminationSeries 2
Date: 2/12/1996
Non-Member General Securities ExaminationSeries 8
Date: 7/13/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
