Michele I. Lee

AVANTAX PLANNING PARTNERS

PARSIPPANY, NJ 07054

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CRD#: 2410833

Professional summary

Michele Irene Lee is a registered financial advisor currently at AVANTAX PLANNING PARTNERS, INC. located in Parsippany, New Jersey and CETERA INVESTMENT ADVISERS LLC located in High Bridge, New Jersey.

Michele is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Michele has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) HIGH BRIDGE BOROUGH MAYOR POSITION: Mayor NATURE: Elected to serve as High Bridge Borough Mayor. INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 10 START DATE: 01/03/2019 ADDRESS: 22 W Main St, High Bridge NJ 08829, US; Promoting the town, representing best interests and supporting the community. Managing budget (with Committees), administration of Borough

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michele Irene 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

September 16, 2021 - Present

AVANTAX PLANNING PARTNERS, INC.

Office #1: 600 Parsippany Rd. Suite 206, Parsippany, NJ 07054

RIA

CRD#: 106237

PARSIPPANY, NJ

Current

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 26 Patton St, High Bridge, NJ 08829Office #2: 600 Parsippany Rd. Suite 206, Parsippany, NJ 07054

RIA

CRD#: 105644

HIGH BRIDGE, NJ

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 600 Parsippany Rd Suite 206, Parsippany, NJ 07054

CRD#: 13572

PARSIPPANY, NJ

Past

October 25, 2019 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

PARSIPPANY, NJ

Past

October 25, 2019 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

PARSIPPANY, NJ

Past

February 27, 2015 - December 31, 2021

HEADQUARTERS ADVISORY GROUP, LLC

RIA

CRD#: 125610

PARSIPPANY, NJ

Past

March 9, 2007 - October 25, 2019

1ST GLOBAL ADVISORS INC

RIA

CRD#: 111133

PARSIPPANY, NJ

Past

February 17, 2005 - October 25, 2019

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

PARSIPPANY, NJ

Past

November 21, 2003 - December 17, 2004

SCOTTRADE, INC.

CRD#: 8206

ST. LOUIS, MO

Past

April 15, 2002 - August 11, 2003

LEGEND EQUITIES CORPORATION

CRD#: 30999

PALM BEACH GARDENS, FL

Past

December 2, 1993 - October 30, 2000

SANDS BROTHERS & CO., LTD.

CRD#: 26816

NEW YORK, NY

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
(9/5/2025)

Florida
(9/5/2025)

Georgia
(11/6/2025)

Maine
(9/5/2025)

Missouri
(9/5/2025)

Nevada
(9/18/2025)

New Hampshire
(9/5/2025)

IAR

New Jersey
(9/16/2021)

New Jersey
(9/5/2025)

New Mexico
(9/18/2025)

New York
(9/5/2025)

North Carolina
(9/5/2025)

Ohio
(9/5/2025)

Oregon
(10/31/2025)

Pennsylvania
(9/5/2025)

South Carolina
(9/5/2025)

Tennessee
(9/5/2025)

Utah
(9/18/2025)

Virginia
(9/5/2025)

Wisconsin
(9/5/2025)

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 66

Date: 2/16/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/9/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/1/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/2/2014

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

Michele I. Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michele Irene Lee's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

HEADQUARTERS ADVISORY GROUP, LLC

1ST GLOBAL ADVISORS INC

1ST GLOBAL CAPITAL CORP.

SCOTTRADE, INC.

LEGEND EQUITIES CORPORATION

SANDS BROTHERS & CO., LTD.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/16/2007

Series 63

Date: 12/9/1993

SIE

Date: 10/1/2018

Series 7

Date: 12/1/1993

Series 24

Date: 10/2/2014

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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