David T. Lee
U.S. BANCORP INVESTMENTS
Sunnyvale, CA 94085
Some features on this profile are disabled
CRD#: 4577846
Professional summary
David Ta-wei Lee, CFP®, who also goes by Ta-wei Lee, is a registered financial advisor currently at U.S. BANCORP INVESTMENTS, INC. located in Sunnyvale, California.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. David has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ta-Wei 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.
1) Rental Property; investment-related; Las Vegas, NV; rental property; Landlord; 2019; 1 hour/month; 0 hours/trading; property management. 2) Rental Property; investment-related; Las Vegas, NV; rental property; Landlord; 2019; 1 hour/month; 0 hours/trading; property management. 3) Real Estate; investment-related; Seattle, WA; Rental; Landlord; 8/2023; 1 hour/month; 0 hours/trading; Property related operations. 4) Real Estate; Investment-related; Seattle, WA; Rental; Landlord; 9/22/2025; 1 hours/month; 1 hours/trading; Property management.
CRS (Client Relationship Summary) - RIA
Click below to view David Ta-wei Lee's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Ta-wei Lee's 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®
CFP®
Start date: 2005
Experience
Current
May 31, 2022 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 1109 E Arques Ave, Sunnyvale, CA 94085Office #2: 300 Main St, Los Altos, CA 94022Office #3: 1570 Grant Rd, Mountain View, CA 94040RIA
BD
CRD#: 17868
Sunnyvale, CA
Current
May 27, 2022 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 1109 E Arques Ave, Sunnyvale, CA 94085Office #2: 300 Main St, Los Altos, CA 94022Office #3: 1570 Grant Rd, Mountain View, CA 94040RIA
BD
CRD#: 17868
Sunnyvale, CA
Past
July 10, 2014 - June 4, 2022
BANCWEST INVESTMENT SERVICES, INC.
RIA
CRD#: 29357
PALO ALTO, CA
Past
July 10, 2014 - June 4, 2022
BANCWEST INVESTMENT SERVICES, INC.
BD
CRD#: 29357
PALO ALTO, CA
Past
September 2, 2011 - January 13, 2014
MORGAN STANLEY
RIA
CRD#: 149777
PALO ALTO, CA
Past
September 2, 2011 - January 13, 2014
MORGAN STANLEY
BD
CRD#: 149777
PALO ALTO, CA
Past
January 3, 2011 - September 7, 2011
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
FREMONT, CA
Past
January 3, 2011 - September 7, 2011
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
FREMONT, CA
Past
July 13, 2006 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
FREMONT, CA
Past
July 13, 2006 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
FREMONT, CA
Past
May 21, 2004 - May 22, 2006
FORESTERS EQUITY SERVICES, INC.
BD
CRD#: 18464
MILPITAS, CA
Past
October 25, 2002 - May 18, 2004
WADDELL & REED
RIA
CRD#: 866
DUBLIN, CA
Past
October 2, 2002 - May 18, 2004
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
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".
UB
U.S. BANCORP INVESTMENTS, INC.
CENTRAL INVESTMENT SERVICES, INC. | US BANCORP | U.S. BANCORP INVESTMENTS, INC. | U.S. BANCORP INVESTMENTS | FBS INVESTMENT SERVICES, INC.
CRD#: 17868 / SEC#: 801-68122, 8-35359
RIA
Registered Investment Advisory firm - SEC (7/23/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)California
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)Idaho
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/23/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/25/2007 Terminated)Missouri
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nebraska
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/15/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Washington
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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
RR
Arizona(5/27/2022)
RR
California(5/27/2022)
IAR
California(5/31/2022)
RR
Colorado(7/14/2023)
RR
Connecticut(2/7/2025)
RR
Idaho(5/27/2022)
RR
Nevada(5/27/2022)
RR
Oregon(5/27/2022)
RR
Texas(1/3/2025)
IAR
Texas(1/3/2025)
RR
Washington(5/27/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
UB
U.S. BANCORP INVESTMENTS, INC.
CENTRAL INVESTMENT SERVICES, INC. | US BANCORP | U.S. BANCORP INVESTMENTS, INC. | U.S. BANCORP INVESTMENTS | FBS INVESTMENT SERVICES, INC.
CRD#: 17868 / SEC#: 801-68122, 8-35359
RIA
Registered Investment Advisory firm - SEC (7/23/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)California
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)Idaho
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/23/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/25/2007 Terminated)Missouri
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nebraska
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/15/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Washington
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
60 Livingston Avenue Ep-mn-n2wc, Saint Paul, MN 55107
Mailing Address
60 Livingston Avenue Ep-mn-n2wc, Saint Paul, MN 55107
Phone number
(800) 888-4700
Established
Delaware since 02/25/1974
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
2,152
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BANCORP | PARENT CORPORATION | |
| AHMAD, MASOOD | SENIOR VICE PRESIDENT, OPERATIONS MANAGER | 7887624 |
| BEJASA, EILEEN | DIRECTOR | 7002808 |
| CLARK, SHANNON KEITH | DIRECTOR AND CHIEF FINANCIAL OFFICER | 5829700 |
| FERGUSON, KIMBERLY NICOLE | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 4120145 |
| FLOUM, JOEL IRA | DIRECTOR | 2405754 |
| LAWLOR, BETH D | DIRECTOR | 5352662 |
| MCCARTHY, MATTHEW RYAN | CHIEF LEGAL OFFICER | 6818984 |
| MOLLOY, JOHN WILLIAM JR. | DIRECTOR | 1939358 |
| ROLLAND, JODI THOMPSON | DIRECTOR | 2290884 |
| SALSTROM, KYLE NORMAN | CHIEF COMPLIANCE OFFICER, DIRECTOR | 5025315 |
| STEGEMEYER, STEPHEN KYLE | DIRECTOR | 2793064 |
| STEINER, STEPHEN WARD | CHIEF OPERATING OFFICER, SENIOR VICE PRESIDENT AND DIRECTOR | 2259345 |
| WHANG, JAMES | DIRECTOR | 2737019 |
Regulatory assets under management
| Total Number of Accounts | 66,996 |
| AUM (Assets Under Management) | $ 19,296,734,956 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 12 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/19/2024 | ||
| 11/21/2023 |
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.
Company Information
U.S. BANCORP INVESTMENTS, INC.
CRD#: 17868Sunnyvale, CA 94085TRUST BUT VERIFY
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