Sylvia A. Choy

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CRD#: 2415025

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.

Sylvia A Choy, who also goes by Sylvia A Lee, Sylvia Alexandra Lee, Sylvia Lee, was a registered financial professional .

Sylvia is a previously registered financial professional and started their career in finance in 1994. Sylvia had worked at 11 firms and has passed the Series 66, Series 63, Series 7, Series 8, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sylvia A Lee | Sylvia Alexandra Lee | Sylvia 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

March 15, 2012 - January 29, 2014

SAGEVIEW ADVISORY GROUP, LLC

RIA

CRD#: 126777

IRVINE, CA

Past

September 26, 2011 - January 10, 2014

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

IRVINE, CA

Past

September 26, 2011 - January 10, 2014

CETERA WEALTH SERVICES, LLC

CRD#: 13572

IRVINE, CA

Past

February 13, 2007 - August 2, 2011

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

December 13, 2005 - January 4, 2007

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

SPRINGFIELD, MA

Past

December 12, 2005 - January 4, 2007

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

March 19, 2002 - December 12, 2005

CLARK SECURITIES, INC.

CRD#: 43803

LOS ANGELES, CA

Past

May 24, 2001 - March 22, 2002

NATIONAL PLANNING CORPORATION

CRD#: 29604

LOS ANGELES, CA

Past

July 17, 2000 - May 30, 2001

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

July 9, 1998 - July 11, 2000

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

November 7, 1997 - June 30, 1998

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

December 8, 1995 - November 7, 1997

KENNEDY, CABOT & CO.

CRD#: 2417

BEVERLY HILLS, CA

Past

March 16, 1994 - July 28, 1994

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

March 16, 1994 - July 28, 1994

AMERIPRISE FINANCIAL SERVICES, LLC

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".

SAGEVIEW ADVISORY GROUP, LLC

401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS

CRD#: 126777 / SEC#: 801-64265

RIA

Registered Investment Advisory firm - (5/31/2005 Approved)

California

Registered Investment Advisory firm - (6/7/2005 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/19/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/17/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/15/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 8/7/1998

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 24

Date: 11/17/1997

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 6/20/1997

Registered Options Principal Examination

Current Firm

SAGEVIEW ADVISORY GROUP, LLC

401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS

CRD#: 126777 / SEC#: 801-64265

RIA

Registered Investment Advisory firm - (5/31/2005 Approved)

California

Registered Investment Advisory firm - (6/7/2005 Terminated)

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Contact information

Main Address

4000 Macarthur Blvd. Suite 1050, Newport Beach, CA 92660

Mailing Address

Phone number

(800) 814-8742

Established

Firm type

Fiscal year end

# of Employees

248

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAGEVIEW ADVISORY GROUP ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	13,295
AUM (Assets Under Management)	$ 238,552,018,915

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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Advisor Monitoring

Firm Stability Insights

Sylvia A. Choy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

CLARK SECURITIES, INC.

NATIONAL PLANNING CORPORATION

UBS FINANCIAL SERVICES INC.

ROBERT W. BAIRD & CO. INCORPORATED

TD AMERITRADE, INC.

KENNEDY, CABOT & CO.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

SAGEVIEW ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/19/2001

Series 63

Date: 5/17/1994

Series 7

Date: 3/15/1994

Series 8

Date: 8/7/1998

Series 24

Date: 11/17/1997

Series 4

Date: 6/20/1997

Current Firm

SAGEVIEW ADVISORY GROUP, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAGEVIEW ADVISORY GROUP, LLC

TRUST BUT VERIFY

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