YL
Young N. Lee
CETERA INVESTMENT ADVISERS LLC
LOS ANGELES, CA 90010
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CRD#: 2642487
YL
Professional summary
Young Noh Lee, who also goes by Young N Lee, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Los Angeles, California and CETERA WEALTH SERVICES, LLC located in Los Angeles, California.
Young is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Young has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Young N 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.
1) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 9/1995; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 2) NAME OF OTHER BUSINESS: KOREAN AMERICAN INSURANCE AND FINANCIAL PROFESSIONAL ASSOC.; INVESTMENT RELATED: NO ; ADDRESS: P.O. BOX 761399 LOS ANGELES, CA NATURE OF BUSINESS: NON-PROFIT ; START DATE 01/2021 ; POSITION/TITLE/RELATIONSHIP: DIRECTOR; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: NONE ; BRIEF DESCRIPTION OF DUTIES: PARTICIPATE AND EXECUTE ASSOCIATION BUSINESS ; 3) NAME OF OTHER BUSINESS: CHUNHA INSURANCE SERVICES, INC. INVESTMENT RELATED: YES ADDRESS: 9122 GARDEN GROVE BLVD, GARDEN GROVE, CA 92844 NATURE OF BUSINESS: INSURANCE SALES START DATE: 03/2009 POSITION/TITLE/RELATIONSHIP: BRANCH MANAGER APX NUMBER OF HOURS PER WEEK:8 APX NUMBER OF HOURS DURING TRADING HOURS: 8 BRIEF DESCRIPTION OF DUTIES: SELLS FIXED INSURANCE AND TRAINS AGENTS. 4) NAME OF OTHER BUSINESS: HUB INTERNATIONAL; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: PROPERTY & CASUALTY; START DATE: 4/2024; POSITION/TITLE/RELATIONSHIP: PRODUCER; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: PROPERTY AND CASUALTY INSURANCE SALES;
CRS (Client Relationship Summary) - RIA
Click below to view Young Noh Lee's 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®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 3600 Wilshire Blvd Suite 1914, Los Angeles, CA 90010RIA
CRD#: 105644
LOS ANGELES, CA
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 3701 Wilshire Blvd Ste 800, Los Angeles, CA 90010BD
CRD#: 13572
Los Angeles, CA
Past
September 3, 2013 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
March 16, 2007 - September 3, 2013
TOWER SQUARE SECURITIES, INC.
RIA
CRD#: 833
LOS ANGELES, CA
Past
March 12, 2007 - September 3, 2013
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
LOS ANGELES, CA
Past
January 4, 2007 - February 27, 2007
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
LOS ANGELES, CA
Past
January 4, 2007 - February 27, 2007
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
LOS ANGELES, CA
Past
July 29, 2004 - January 11, 2007
TOWER SQUARE SECURITIES, INC.
RIA
CRD#: 833
LOS ANGELES, CA
Past
July 29, 2004 - January 11, 2007
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
LOS ANGELES, CA
Past
June 21, 2004 - July 23, 2004
SIGNATOR INVESTORS, INC.
RIA
CRD#: 468
LOS ANGLES, CA
Past
March 10, 2004 - July 23, 2004
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
April 22, 2003 - December 31, 2003
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
LOS ANGELES, CA
Past
August 29, 2002 - December 31, 2003
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Past
May 9, 2000 - September 19, 2002
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
LOS ANGELES, CA
Past
August 3, 1995 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
August 3, 1995 - September 19, 2002
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
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".
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
Alabama(5/25/2022)
RR
California(9/3/2013)
IAR
California(6/29/2023)
RR
Georgia(8/26/2022)
RR
Nevada(1/5/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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)Upgrade to AdvisorCheck Premium
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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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
