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SL

Stephen Lee

SCHWAB WEALTH ADVISORY
Irvine, CA 92614
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CRD#: 3000247
SL
Stephen LeeSCHWAB WEALTH ADVISORY

Professional summary

Stephen Lee is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Irvine, California and CHARLES SCHWAB & CO., INC. located in Irvine, California.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Stephen has worked at 4 firms and has passed the Series 66, Series 7TO, SIE and Series 6 exams.

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen 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

June 10, 2026 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 2 Park Plaza Suite 200, Irvine, CA 92614
RIA
CRD#: 159035
Irvine, CA
Current

June 16, 2026 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 2 Park Plaza Suite 200, Irvine, CA 92614
RIA
BD
CRD#: 5393
Irvine, CA
Past

November 17, 2021 - May 6, 2026

IIYGROUP LLC

RIA
CRD#: 317114
LOS ALAMITOS, CA
Past

May 28, 1998 - September 10, 2001

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
SAN MATEO, CA

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".
SW
SCHWAB WEALTH ADVISORY, INC.
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA
Registered Investment Advisory firm - (12/9/2011 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

IAR
California
(6/10/2026)
RR
California
(7/13/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/10/2026
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/16/2026
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/12/2025
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 5/27/1998
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

SW
SCHWAB WEALTH ADVISORY, INC.
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA
Registered Investment Advisory firm - (12/9/2011 Approved)
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Contact information

Main Address
9800 Schwab Way, Lone Tree, CO 80124
Mailing Address
Phone number
(415) 667-7000
Established
Firm type
Fiscal year end
# of Employees
1,042

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SCHWAB WEALTH ADVISORY, INC. DISCLOSURE BROCHURE (12/11/2025)

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

SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035Irvine, CA 92614

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