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Betty W. Lee
CETERA INVESTMENT ADVISERS LLC
WALNUT CREEK, CA 94596
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CRD#: 2865630
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Professional summary
Betty Won Lee is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Walnut Creek, California and CETERA INVESTMENT SERVICES LLC located in Walnut Creek, California.
Betty is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Betty has worked at 11 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53 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.) BOARD MEMBER STAPLETON SCHOOL OF THE PERFORMING ARTS, APPOINT AND SUPPORT THE EXECUTIVE ARTISTIC DIRECTOR, ENSURE MISSION, PHILOSOPHY AND CORE VALUE OF THE SCHOOL IS UPHELD, MONITOR WELL BEING OF BUDGET, FINANCES AND COMMUNITY IMAGE, DOES NOT HAVE ACCESS TO BANK ACCOUNT NOR CHECK WRITING PRIVILEGES, 1/HR/WK. 2.) PRESIDENT OF NORTHERN CALIFORNIA WIFS, CHAPTER OF INDUSTRY ORGANIZATION THAT ATTRACT, DEVELOP, ADVANCE WOMEN IN THE INDUSTRY, OVERSEE MISSION AND VISION OF ORGANIZATION, FACILITATE BOARD MEETINGS, ORGANIZE PROGAMMING AND EVENTS OF CHAPTER, RECRUIT NEW MEMBERS, ATTRACT SPONSORS, 2/HRS/WK. 3.) CO-TREASURER AND BOARD MEMBER OF GILEAD HOUSE, ADVISE ON STRATEGIC VISION AND FINANCIAL SOLVENCY OF THE ORGANIZATION, VOTING MEMBER, TREASUER WILL NOT HAVE THE ABILITY TO OPEN DIRECT WITHDRAWAL OR SIGN ON ACCOUNTS, WILL NOT HAVE CHECK WRITING PRIVILEGES, WILL KEEP AND MAINTAIN OR CAUSE TO BE KEPT AND MAINTAINED ADEQUATE AND CORRECT BOOKS AND RECORDS OF ACCOUNTS AND PROPERTIES AND TRANSACTIONS. 4.) GUARDIAN/FINANCIAL OVERSIGHT OF DAUGHTER SELLING CLOTHING ON DEPOP.COM.
CRS (Client Relationship Summary) - RIA
Click below to view Betty Won 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
January 16, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1600 South Main Street Suite 315, Walnut Creek, CA 94596RIA
CRD#: 105644
WALNUT CREEK, CA
Current
January 16, 2024 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 1600 South Main Street Suite 315, Walnut Creek, CA 94596BD
CRD#: 15340
Walnut Creek, CA
Past
March 14, 2016 - January 24, 2024
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
Roseville, CA
Past
January 27, 2016 - January 24, 2024
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
Roseville, CA
Past
December 14, 2004 - January 21, 2016
U.S. BANCORP ADVISORS, LLC
RIA
CRD#: 14455
SAN FRANCISCO, CA
Past
December 14, 2004 - January 21, 2016
U.S. BANCORP ADVISORS, LLC
BD
CRD#: 14455
SAN FRANCISCO, CA
Past
January 31, 2002 - December 3, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
SAN FRANCISCO, CA
Past
August 21, 2000 - December 3, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
March 15, 1999 - August 18, 2000
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
September 25, 1997 - March 4, 1999
MARKETING ONE SECURITIES, INC.
BD
CRD#: 16611
PORTLAND, OR
Past
July 25, 1997 - September 20, 1997
EMMETT A LARKIN COMPANY, INC.
BD
CRD#: 6625
SAN FRANCISCO, CA
Past
July 3, 1997 - August 26, 1997
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
July 3, 1997 - August 26, 1997
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
April 3, 1997 - July 23, 1997
CARILLON INVESTMENTS, INC.
BD
CRD#: 14646
CINCINNATI, OH
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(1/16/2024)
RR
Alaska(1/16/2024)
RR
Arizona(1/16/2024)
RR
Arkansas(1/16/2024)
RR
California(1/16/2024)
IAR
California(1/16/2024)
RR
Colorado(1/16/2024)
RR
Connecticut(1/16/2024)
RR
Delaware(1/16/2024)
RR
District of Columbia(1/16/2024)
RR
Florida(1/16/2024)
RR
Georgia(1/16/2024)
RR
Hawaii(1/16/2024)
RR
Idaho(1/16/2024)
RR
Illinois(1/16/2024)
RR
Indiana(1/16/2024)
RR
Iowa(1/16/2024)
RR
Kansas(1/16/2024)
RR
Kentucky(1/16/2024)
RR
Louisiana(1/16/2024)
RR
Maine(1/16/2024)
RR
Maryland(1/16/2024)
RR
Massachusetts(1/16/2024)
RR
Michigan(1/16/2024)
RR
Minnesota(1/16/2024)
RR
Mississippi(1/16/2024)
RR
Missouri(1/16/2024)
RR
Montana(1/16/2024)
RR
Nebraska(1/16/2024)
RR
Nevada(1/16/2024)
RR
New Hampshire(1/16/2024)
RR
New Jersey(1/16/2024)
RR
New Mexico(1/16/2024)
RR
New York(1/16/2024)
RR
North Carolina(1/16/2024)
RR
North Dakota(1/16/2024)
RR
Ohio(1/16/2024)
RR
Oklahoma(1/16/2024)
RR
Oregon(1/16/2024)
RR
Pennsylvania(1/16/2024)
RR
Rhode Island(1/16/2024)
RR
South Carolina(1/16/2024)
RR
South Dakota(1/16/2024)
RR
Tennessee(1/16/2024)
RR
Texas(1/16/2024)
IAR
Texas(1/17/2024)
RR
Utah(1/16/2024)
RR
Vermont(1/16/2024)
RR
Virginia(1/16/2024)
RR
Washington(1/16/2024)
RR
West Virginia(1/16/2024)
RR
Wisconsin(1/16/2024)
RR
Wyoming(1/16/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Walnut Creek, CA 94596TRUST BUT VERIFY
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