Steven S. Lee
Professional summary
Steven Si Ching Lee, who also goes by Siching Lee, Steven Lee, is a registered financial professional currently at NI ADVISORS located in Hacienda Heights, California.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1994. Steven has worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven Si Ching Lee's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 11, 2011 - Present
NI ADVISORS
Office #1: 2514 S. Hacienda Blvd., Suite D, Hacienda Heights, CA 91745March 19, 2004 - November 2, 2011
VOYA FINANCIAL ADVISORS, INC.
August 1, 2003 - March 3, 2004
WOODBURY FINANCIAL SERVICES, INC.
October 12, 2001 - December 31, 2002
VOYA FINANCIAL ADVISORS, INC.
July 18, 2000 - October 15, 2001
WOODBURY FINANCIAL SERVICES, INC.
May 1, 1997 - July 14, 2000
VOYA FINANCIAL ADVISORS, INC.
March 23, 1995 - March 14, 1997
MONY SECURITIES CORPORATION
March 28, 1994 - February 11, 1995
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/11/2011)
(3/13/2019)
(3/3/2022)
(3/23/2024)
(3/18/2022)
(4/21/2022)
(10/31/2018)
Exams
FINRA
Current Firm
NI ADVISORS
CRD#: 134502 / SEC#: , 8-66841
Contact information
FINRA licenses (34 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 3,560,000 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
