Gregory J. Lee
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.
Gregory Jefferson Lee, who also goes by Gregory J Lee, Gregory Jefferson Lee, Gregory Lee, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 2000. Gregory had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2025 - February 18, 2026
CETERA ADVISORS LLC
October 28, 2024 - February 18, 2026
CETERA INVESTMENT ADVISERS LLC
October 28, 2024 - April 1, 2025
CETERA FINANCIAL SPECIALISTS LLC
April 24, 2024 - October 9, 2024
CEROS FINANCIAL SERVICES, INC.
March 28, 2024 - October 7, 2024
FLEXIBLE PLAN INVESTMENTS LTD
January 20, 2023 - April 16, 2024
NATIONWIDE INVESTMENT ADVISORS, LLC
January 18, 2023 - April 16, 2024
NATIONWIDE INVESTMENT SERVICES CORPORATION
March 24, 2022 - October 11, 2022
PNC WEALTH MANAGEMENT LLC
March 24, 2022 - October 11, 2022
PNC WEALTH MANAGEMENT LLC
September 30, 2020 - September 17, 2021
PNC WEALTH MANAGEMENT LLC
September 28, 2020 - September 17, 2021
PNC WEALTH MANAGEMENT LLC
May 2, 2007 - May 9, 2019
FIDELITY BROKERAGE SERVICES LLC
January 27, 2004 - March 30, 2007
CHARLES SCHWAB & CO., INC.
January 3, 2003 - December 31, 2004
CYBERTRADER, INC.
March 23, 2001 - January 23, 2003
CHARLES SCHWAB & CO., INC.
March 31, 2000 - September 20, 2000
BANC ONE SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA ADVISORS LLC
CRD#: 10299 / SEC#: 801-33020, 8-26892
Contact information
FINRA licenses (53 States and Territories)
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 |
| 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 | 15 |
| Civil Event | 1 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2023 |
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.
