Gregory J. Lee

CETERA INVESTMENT ADVISERS LLC

CHANDLER, AZ

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CRD#: 4148002

Professional summary

Gregory Jefferson Lee, who also goes by Gregory J Lee, Gregory Jefferson Lee, Gregory Lee, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Chandler, Arizona and CETERA ADVISORS LLC located in Greenwood Village, Colorado.

Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Gregory has 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

Are you a "fiduciary"?

Yes

Aliases

Gregory J Lee | Gregory Jefferson Lee | Gregory 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) - RIA

Click below to view Gregory Jefferson 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

October 28, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

CHANDLER, AZ

Current

March 24, 2025 - Present

CETERA ADVISORS LLC

Office #1: 5299 Dtc Blvd #800, Greenwood Village, CO 80111

CRD#: 10299

Greenwood Village, CO

Past

October 28, 2024 - April 1, 2025

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

SCHAUMBURG, IL

Past

April 24, 2024 - October 9, 2024

CEROS FINANCIAL SERVICES, INC.

CRD#: 37869

ROCKVILLE, MD

Past

March 28, 2024 - October 7, 2024

FLEXIBLE PLAN INVESTMENTS LTD

RIA

CRD#: 110762

Chandler, AZ

Past

January 20, 2023 - April 16, 2024

NATIONWIDE INVESTMENT ADVISORS, LLC

RIA

CRD#: 142373

COLUMBUS, OH

Past

January 18, 2023 - April 16, 2024

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

Scottsdale, AZ

Past

March 24, 2022 - October 11, 2022

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

Chandler, AZ

Past

March 24, 2022 - October 11, 2022

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

PITTSBURGH, PA

Past

September 30, 2020 - September 17, 2021

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

RALEIGH, NC

Past

September 28, 2020 - September 17, 2021

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

RALEIGH, NC

Past

May 2, 2007 - May 9, 2019

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

DURHAM, NC

Past

January 27, 2004 - March 30, 2007

CHARLES SCHWAB & CO., INC.

CRD#: 5393

CHAPEL HILL, NC

Past

January 3, 2003 - December 31, 2004

CYBERTRADER, INC.

CRD#: 44523

AUSTIN, TX

Past

March 23, 2001 - January 23, 2003

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

March 31, 2000 - September 20, 2000

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Arizona
(10/28/2024)

Arizona
(3/27/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/26/2020

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/30/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/11/2003

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 3/22/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/30/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 2/13/2019

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 8/25/2017

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	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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Firm Stability Insights

Gregory J. Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Jefferson Lee's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA FINANCIAL SPECIALISTS LLC

CEROS FINANCIAL SERVICES, INC.

FLEXIBLE PLAN INVESTMENTS LTD

NATIONWIDE INVESTMENT ADVISORS, LLC

NATIONWIDE INVESTMENT SERVICES CORPORATION

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

FIDELITY BROKERAGE SERVICES LLC

CHARLES SCHWAB & CO., INC.

CYBERTRADER, INC.

CHARLES SCHWAB & CO., INC.

BANC ONE SECURITIES CORPORATION

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/26/2020

Series 63

Date: 3/30/2000

SIE

Date: 10/1/2018

Series 3

Date: 8/11/2003

Series 7

Date: 3/22/2001

Series 6

Date: 3/30/2000

Series 10

Date: 2/13/2019

Series 9

Date: 8/25/2017

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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