Ben C. Lee

CETERA INVESTMENT SERVICES LLC

DALLAS, TX 75019

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CRD#: 2909391

Professional summary

Ben Christopher Lee, who also goes by Yong Bin Kim, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in Dallas, Texas and CETERA WEALTH SERVICES, LLC located in Dallas, Texas.

Ben is registered as a RR (Registered Representative) and started their career in finance in 1998. Ben has worked at 12 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Yong Bin Kim

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) - BD

Click below to view Ben Christopher 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

August 21, 2024 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019

CRD#: 15340

DALLAS, TX

Current

August 21, 2024 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019Office #2: 3200 Olympus Blvd Suite 100, Dallas, TX 75019

CRD#: 13572

DALLAS, TX

Current

August 21, 2024 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019

CRD#: 10358

DALLAS, TX

Current

August 21, 2024 - Present

CETERA ADVISORS LLC

Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019

CRD#: 10299

DALLAS, TX

Past

September 26, 2017 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

November 16, 2012 - August 15, 2017

NATIONAL FINANCIAL SERVICES LLC

CRD#: 13041

WESTLAKE, TX

Past

June 14, 2012 - August 23, 2012

APEX CLEARING CORPORATION

CRD#: 13071

DALLAS, TX

Past

September 11, 2008 - August 1, 2012

PENSON FINANCIAL SERVICES, INC.

CRD#: 25866

DALLAS, TX

Past

July 28, 2008 - August 18, 2008

MOMENTUM INDEPENDENT NETWORK INC.

CRD#: 17587

DALLAS, TX

Past

May 6, 2004 - June 9, 2008

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

FRISCO, TX

Past

March 31, 1999 - December 31, 1999

MYDISCOUNTBROKER.COM

CRD#: 42565

DALLAS, TX

Past

March 30, 1998 - April 23, 2004

HILLTOP SECURITIES INC.

CRD#: 6220

DALLAS, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Texas
(9/5/2025)

Exams

State Security Law Exam

Series 63

Date: 12/4/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 11/21/2006

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 3/24/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 3/27/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 4/21/2005

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA ADVISORS LLC

CETERA ADVISORS LLC | MULTI-FINANCIAL SECURITIES CORPORATION | MAGIS FINANCIAL PARTNERS | FIRST ALLIED SECURITIES

CRD#: 10299 / SEC#: 801-33020, 8-26892

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

5299 Dtc Blvd #800 Suite 800, Greenwood Village, IL 80111

Mailing Address

400 First Street South Suite 300, Saint Cloud, MN 56301

Phone number

(800) 929-3485

Established

Delaware since 08/31/2012

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

1,138

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CETERA ADVISORS LLC ADV 2A AND APPENDIX 1 (3/28/2024)

Direct owners and executive officers

Name	Position	CRD#
CETERA FINANCIAL GROUP, INC.	SOLE MEMBER
ARNOLD, SUMMER SELTZER	VICE PRESIDENT	2954103
BUCHHEISTER, JEFFREY ROBERT	CHIEF FINANCIAL OFFICER	4709900
BUDEVICH, SERGE	VICE PRESIDENT AND TAX OFFICER	7996345
DEL VALLE, ELISA ANNE-MARIE	VICE PRESIDENT	4807911
DOWELL, RODNEY CAMMERON	PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT	7376607
FRIES, MATTHEW NEIL KALANI	VICE PRESIDENT	2723824
GOK, LISA ANNE	SECRETARY	5059738
HALLORAN, THOMAS WILLIAM	CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER	1921834
HOLWEGER, KIMBERLEY	CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER	1572778
LEE, WINNIE AI-LING	ASSISTANT SECRETARY	7381661
MACKAY, TODD CHRISTOPHER	MANAGER	2799860
MCCALLOP, PATRICIA RUTHERFORD	BROKER DEALER CHIEF COMPLIANCE OFFICER	5059176
MERRILL, GARRETT JAMES	VICE PRESIDENT	4306692
MIZUGUCHI, MAURA	CHIEF ACCOUNTING OFFICER AND TREASURER	5769181
NEARY, JOSEPH DANIEL	MANAGER AND VICE PRESIDENT	2993505
RAMOS, RAMON	MONEY LAUNDERING REPORTING OFFICER	2160203
SMILEY, STANLEY ROBERT	VICE PRESIDENT	3004604
STINSON, TIMOTHY EARL MCCOY	VICE PRESIDENT	2272183
VAN HAVERMAAT, DAVID JAMES	ASSISTANT SECRETARY	7042846
VOGEL, RICHARD CHARLES	VICE PRESIDENT	4024999

Regulatory assets under management

Total Number of Accounts	81,652
AUM (Assets Under Management)	$ 21,989,347,265

Disclosures

Regulatory Event	14
Civil Event	1
Arbitration	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/26/2023	Cover Page	Report

Red Flags

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Advisor Monitoring

Firm Stability Insights

Ben C. Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ben Christopher Lee's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

AVANTAX INVESTMENT SERVICES, INC.

NATIONAL FINANCIAL SERVICES LLC

APEX CLEARING CORPORATION

PENSON FINANCIAL SERVICES, INC.

MOMENTUM INDEPENDENT NETWORK INC.

BANC OF AMERICA SECURITIES LLC

MYDISCOUNTBROKER.COM

HILLTOP SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/4/2003

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 11/21/2006

Series 55

Date: 3/24/2000

Series 7

Date: 3/27/1998

Series 4

Date: 4/21/2005

FINRA

Current Firm

CETERA ADVISORS LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

CETERA ADVISORS LLC

TRUST BUT VERIFY

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