Daniela G. Lee

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CRD#: 4053822

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Daniela Germann Lee, who also goes by Daniela Germann, Daniela Germann Lee, was a registered financial professional .

Daniela is a previously registered financial professional and started their career in finance in 1999. Daniela had worked at 3 firms and has passed the Series 65, Series 63, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Daniela Germann | Daniela Germann 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 27, 2008 - May 16, 2018

LNW

RIA

CRD#: 107341

SAN FRANCISCO, CA

Past

April 25, 2007 - November 29, 2007

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

PALO ALTO, CA

Past

March 26, 2007 - November 29, 2007

UBS FINANCIAL SERVICES INC.

CRD#: 8174

PALO ALTO, CA

Past

December 9, 1999 - March 2, 2007

GOLDMAN SACHS & CO. LLC

CRD#: 361

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".

LNW

KARETSKY/WETHERBY ASSET MANAGEMENT | WETHERBY ASSET MANAGEMENT LLC | WETHERBY ASSET MANAGEMENT | LNW | LAIRD NORTON WETHERBY WEALTH MANAGEMENT, LLC

CRD#: 107341 / SEC#: 801-36445

RIA

Registered Investment Advisory firm - (4/27/1990 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/30/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/6/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/20/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 5/21/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 5/14/2001

General Securities Sales Supervisor - Options Module Examination

Current Firm

LNW

KARETSKY/WETHERBY ASSET MANAGEMENT | WETHERBY ASSET MANAGEMENT LLC | WETHERBY ASSET MANAGEMENT | LNW | LAIRD NORTON WETHERBY WEALTH MANAGEMENT, LLC

CRD#: 107341 / SEC#: 801-36445

RIA

Registered Investment Advisory firm - (4/27/1990 Approved)

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Contact information

Main Address

801 Second Avenue, Suite 1600, Seattle, WA 98104

Mailing Address

Phone number

(206) 464-5100

Established

Firm type

Fiscal year end

# of Employees

171

SEC notice filing (26 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LAIRD NORTON WETHERBY WEALTH MANAGEMENT LLC DECEMBER 2025 (12/3/2025)

Regulatory assets under management

Total Number of Accounts	6,068
AUM (Assets Under Management)	$ 12,230,221,045

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/20/2024	Cover Page	Report
01/25/2024	Cover Page	Report
02/24/2023	Cover Page	Report

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.

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Daniela G. Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

GOLDMAN SACHS & CO. LLC

Primary Firm SEC Registration

LNW

State Registrations and Notice Filings

Exams

Series 65

Date: 8/30/2001

Series 63

Date: 12/6/2000

Series 7

Date: 11/20/1999

Series 10

Date: 5/21/2001

Series 9

Date: 5/14/2001

Current Firm

LNW

Contact information

SEC notice filing (26 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

LNW

TRUST BUT VERIFY

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