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For Advisors
JL

Jen Y. Lee

Some features on this profile are disabled
CRD#: 2029561
JL

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.

Jen Yung Lee, who also goes by Jay Jenyuang Lee, Jay Lee, was a registered financial professional .

Jen is a previously registered financial professional and started their career in finance in 1990. Jen had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jay Jenyuang Lee | Jay 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 5, 2025 - January 6, 2026

LPL FINANCIAL LLC

RIA
CRD#: 6413
MISSION VIEJO, CA
Past

June 5, 2025 - January 6, 2026

LPL FINANCIAL LLC

BD
CRD#: 6413
MISSION VIEJO, CA
Past

September 21, 2012 - June 5, 2025

WESTERN INTERNATIONAL SECURITIES, INC.

RIA
CRD#: 39262
Pasadena, CA
Past

September 21, 2012 - June 5, 2025

WESTERN INTERNATIONAL SECURITIES, INC.

BD
CRD#: 39262
Pasadena, CA
Past

January 3, 2011 - August 3, 2012

U.S. BANCORP INVESTMENTS, INC.

RIA
CRD#: 17868
BREA, CA
Past

January 3, 2011 - August 3, 2012

U.S. BANCORP INVESTMENTS, INC.

BD
CRD#: 17868
BREA, CA
Past

May 1, 2006 - January 5, 2011

HSBC SECURITIES (USA) INC.

RIA
CRD#: 19585
LOS ANGELES, CA
Past

January 1, 2005 - January 5, 2011

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
LOS ANGELES, CA
Past

September 19, 2003 - January 1, 2005

HSBC BROKERAGE (USA) INC.

BD
CRD#: 6956
NEW YORK, NY
Past

May 16, 2002 - September 17, 2003

CETERA INVESTMENT SERVICES LLC

RIA
CRD#: 15340
LOS ANGELES, CA
Past

May 16, 2002 - September 17, 2003

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
ST. CLOUD, MN
Past

April 3, 2002 - October 24, 2002

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
SAN MARINO, CA
Past

October 4, 2001 - October 24, 2002

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

May 1, 2000 - October 8, 2001

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

September 1, 1999 - May 3, 2000

GUARANTY BROKERAGE SERVICES, INC.

BD
CRD#: 23302
ST. CLOUD, MN
Past

August 4, 1997 - December 23, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

January 9, 1997 - April 14, 1997

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, NY
Past

January 15, 1996 - December 16, 1996

MONEY CONCEPTS CAPITAL CORP

BD
CRD#: 12963
PALM BEACH GARDENS, FL
Past

March 22, 1994 - December 9, 1994

MONEY CONCEPTS CAPITAL CORP

BD
CRD#: 12963
PALM BEACH GARDENS, FL
Past

August 20, 1991 - September 30, 1992

MONEY CONCEPTS CAPITAL CORP

BD
CRD#: 12963
PALM BEACH GARDENS, FL
Past

March 20, 1990 - July 26, 1991

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

March 20, 1990 - July 26, 1991

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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".
LPL FINANCIAL LLC
LPL FINANCIAL LLC
LINSCO/PRIVATE LEDGER CORP. | WADDELL & REED INVESTMENTS | WADDELL & REED FINANCIAL ADVISORS | WADDELL & REED | PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED | LPL FINANCIAL LLC | LPL FINANCIAL CORPORATION | LPL FINANCIAL | LPL

CRD#: 6413 / SEC#: 801-10970, 8-17668

RIA
Registered Investment Advisory firm - SEC (8/25/1975 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/14/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/10/1991
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 3
Date: 11/29/1997
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 3/17/1990
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 8/30/2005
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 7/1/2005
General Securities Sales Supervisor - Options Module Examination

Current Firm

LPL FINANCIAL LLC
LPL FINANCIAL LLC
LINSCO/PRIVATE LEDGER CORP. | WADDELL & REED INVESTMENTS | WADDELL & REED FINANCIAL ADVISORS | WADDELL & REED | PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED | LPL FINANCIAL LLC | LPL FINANCIAL CORPORATION | LPL FINANCIAL | LPL

CRD#: 6413 / SEC#: 801-10970, 8-17668

RIA
Registered Investment Advisory firm - SEC (8/25/1975 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
PREMIUM
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Contact information

Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
California since 11/15/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
37,893

SEC notice filing (53 States and Territories)

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

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

LPLE OMP PROGRAM BROCHURE A12 (10/22/2025)
LPL THIRD PARTY CO-ADVISORY OMP PROGRAM BROCHURE A12-R (10/22/2025)
LPL CUSTOM CO-ADVISORY OMP PROGRAM BROCHURE A12-EQH (10/22/2025)
LPL OMP PROGRAM BROCHURE A12 (10/22/2025)
LPL CUSTOM CO-ADVISORY MWP PROGRAM BROCHURE A11-EQH (9/30/2025)
LPL PWP PROGRAM BROCHURE A9 (9/30/2025)
LPL RETIREMENT PLAN PROGRAMS BROCHURE A15 (9/30/2025)
LPL SAM PROGRAM BROCHURE A7 (9/30/2025)
LPL CUSTOM CO-ADVISORY MS PROGRAM BROCHURE MS302-EQH (9/30/2025)
LPL THIRD PARTY CO-ADVISORY MWP PROGRAM BROCHURE A11-R (9/30/2025)
LPL CUSTOM CO-ADVISORY PWP PROGRAM BROCHURE A9-EQH (9/30/2025)
LPLE MS PROGRAM BROCHURE MS302 (9/30/2025)
LPLE PWP PROGRAM BROCHURE A9 (9/30/2025)
LPLE SAM PROGRAM BROCHURE A7 (9/30/2025)
LPLE MWP PROGRAM BROCHURE A11 (9/30/2025)
LPL MWP PROGRAM BROCHURE A11 (9/30/2025)
LPL THIRD PARTY CO-ADVISORY MAS PROGRAM BROCHURE MS302-R (9/30/2025)
LPL CUSTOM CO-ADVISORY SAM I AND SAM II PROGRAM BROCHURE A7-EQH (9/30/2025)
LPL THIRD PARTY CO-ADVISORY PWP PROGRAM BROCHURE A9-R (9/30/2025)
LPL MS PROGRAM BROCHURE MS302 (9/30/2025)
LPL APP PROGRAM BROCHURE A16 (7/15/2025)
LPLE GUIDED WEALTH PORTFOLIOS (3/31/2025)
GUIDED WEALTH PORTFOLIOS (3/31/2025)
BANK WEALTH PROGRAM (3/31/2025)
LPL FIRM BROCHURE A58 (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
LPL HOLDINGS, INC.MANAGING MEMBER
AUDETTE, MATTHEW JONPRESIDENT AND CHIEF FINANCIAL OFFICER4003349
ENYEDI, MATTHEW KLAUSMANAGING DIRECTOR, NATIONAL SALES4194266
GATES, GREGORYMANAGING DIRECTOR, CHIEF INFORMATION OFFICER7069201
JAMBUSARIA, ANERIMANAGING DIRECTOR LPL SERVICES GROUP7248335
MALFITANO, STEVEN THOMASSVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER3178848
MCHALE, JAMESEXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER6052977
MORNINGSTAR, MATTHEW EDWINCHIEF LEGAL OFFICER2510742
RICKETTS, JUDITH KOHOSKIEEXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER2758924
SIMONICH, BRENT BLAINEXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER3254859
STEINMEIER, RICHARD CCHIEF EXECUTIVE OFFICER AND DIRECTOR5109512

Regulatory assets under management

Total Number of Accounts2,369,378
AUM (Assets Under Management)$ 618,922,975,737

Disclosures

Regulatory Event214
Arbitration58
Bond4

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
06/25/2025
Cover Page
Report
07/19/2024
Cover Page
Report
11/09/2023
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

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CRD#: 6413

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