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DL

David Lee

CETERA INVESTMENT ADVISERS
New York, NY 10022
Some features on this profile are disabled
CRD#: 1857818
DL

Professional summary

David Lee, who also goes by An Niem Ly, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in New York, New York and CETERA INVESTMENT SERVICES LLC located in Flushing, New York.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. David has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

An Niem Ly

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David 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

January 21, 2014 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 535 Madison Ave 8th Floor, New York, NY 10022Office #2: 485 Madison Ave 12th Fl Ste 1200, New York, NY 10022
RIA
CRD#: 105644
New York, NY
Current

October 6, 2006 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 38-05 Union St, Flushing, NY 11354Office #2: 1322-1328 Avenue U, Brooklyn, NY 11229Office #3: 208 Canal St, New York, NY 10013Office #4: 535 Madison Avenue, New York, NY 10022Office #5: 485 Madison Ave 12th Fl Ste 1200, New York, NY 10022Office #6: 77 Bowery, New York, NY 10002
BD
CRD#: 15340
Flushing, NY
Past

October 6, 2006 - January 21, 2014

CETERA INVESTMENT SERVICES LLC

RIA
CRD#: 15340
PASADENA, CA
Past

January 4, 2005 - October 6, 2006

UVEST FINANCIAL SERVICES GROUP, INC.

RIA
CRD#: 13787
NEW YORK, NY 10002, NY
Past

January 4, 2005 - October 6, 2006

UVEST FINANCIAL SERVICES GROUP, INC.

BD
CRD#: 13787
NEW YORK, NY 10002, NY
Past

March 1, 2004 - January 12, 2005

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

March 1, 1996 - January 16, 2004

HSBC BROKERAGE (USA) INC.

BD
CRD#: 6956
NEW YORK, NY
Past

February 27, 1995 - March 13, 1996

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

February 27, 1995 - March 13, 1996

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA

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
(8/21/2008)
RR
Connecticut
(2/15/2023)
RR
Delaware
(2/19/2025)
RR
Florida
(1/22/2019)
RR
Georgia
(2/11/2014)
RR
Illinois
(5/11/2023)
RR
Maryland
(3/2/2026)
RR
Massachusetts
(10/10/2006)
RR
Nevada
(2/24/2023)
RR
New Jersey
(10/10/2006)
RR
New York
(10/6/2006)
IAR
New York
(3/31/2021)
RR
Texas
(8/7/2025)
IAR
Texas
(8/7/2025)
RR
Washington
(4/25/2018)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/24/2004
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/7/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/8/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/24/1995
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 9/30/2003
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 9/2/2003
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/29/2002
General Securities Principal Examination
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)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644New York, NY 10022

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