Elaine Y. Lee

U.S. BANCORP ADVISORS

San Carlos, CA 94070

CRD#: 4626289

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Professional summary

Elaine Yefun Lee, who also goes by Elaine Ye Fun Lee, Elaine Ye-fun Lee, Elaine Ye Fun Lee-shen, Elaine Ye-fun Lee-shen, Elaine Lee-shen, is a registered financial advisor currently at U.S. BANCORP ADVISORS, LLC located in San Carlos, California.

Elaine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Elaine has worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Elaine Ye Fun Lee | Elaine Ye-Fun Lee | Elaine Ye Fun Lee-Shen | Elaine Ye-Fun Lee-Shen | Elaine Lee-Shen

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 Elaine Yefun Lee's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Elaine Yefun 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

February 13, 2026 - Present

U.S. BANCORP ADVISORS, LLC

Office #1: 799 Laurel St, San Carlos, CA 94070

RIA

CRD#: 14455

San Carlos, CA

Current

February 13, 2026 - Present

U.S. BANCORP ADVISORS, LLC

Office #1: 799 Laurel St, San Carlos, CA 94070

RIA

CRD#: 14455

San Carlos, CA

Past

April 18, 2023 - February 13, 2026

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

San Carlos, CA

Past

April 18, 2023 - February 13, 2026

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAN CARLOS, CA

Past

June 8, 2022 - February 23, 2023

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

RIA

CRD#: 108559

San Francisco, CA

Past

June 8, 2022 - February 23, 2023

FIRST REPUBLIC SECURITIES COMPANY, LLC

CRD#: 105108

San Francisco, CA

Past

March 15, 2018 - May 9, 2022

BANCWEST INVESTMENT SERVICES, INC.

RIA

CRD#: 29357

DALY CITY, CA

Past

March 14, 2018 - May 9, 2022

BANCWEST INVESTMENT SERVICES, INC.

CRD#: 29357

DALY CITY, CA

Past

July 28, 2016 - March 6, 2018

U.S. BANCORP ADVISORS, LLC

RIA

CRD#: 14455

PALO ALTO, CA

Past

July 28, 2016 - March 6, 2018

U.S. BANCORP ADVISORS, LLC

CRD#: 14455

PALO ALTO, CA

Past

October 7, 2013 - June 6, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SAN JOSE, CA

Past

October 7, 2013 - June 6, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SAN JOSE, CA

Past

November 12, 2010 - July 31, 2013

U.S. BANCORP ADVISORS, LLC

RIA

CRD#: 14455

SAN CARLOS, CA

Past

November 12, 2010 - July 31, 2013

U.S. BANCORP ADVISORS, LLC

CRD#: 14455

SAN CARLOS, CA

Past

March 2, 2009 - September 17, 2009

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

SAN FRANCISCO, CA

Past

March 2, 2009 - September 17, 2009

HSBC SECURITIES (USA) INC.

CRD#: 19585

SAN FRANCISCO, CA

Past

March 9, 2007 - January 29, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

SAN FRANCISCO, CA

Past

March 9, 2007 - January 29, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

SAN FRANCISCO, CA

Past

February 2, 2005 - January 30, 2007

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

SOUTH SAN FRANCISCO, CA

Past

February 2, 2005 - January 30, 2007

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SOUTH SAN FRANCISCO, CA

Past

October 23, 2003 - October 19, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

SAN FRANCISCO, CA

Past

April 7, 2003 - October 19, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

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".

U.S. BANCORP ADVISORS, LLC

CRD#: 14455 / SEC#: 801-70084, 8-30706

RIA

Registered Investment Advisory firm - SEC (8/14/2009 Approved)

California

Registered Investment Advisory firm - SEC (8/28/2009 Terminated)

Washington

Registered Investment Advisory firm - SEC (8/24/2009 Terminated)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

California
(2/13/2026)

IAR

California
(2/13/2026)

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: 10/22/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/17/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/3/2003

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

U.S. BANCORP ADVISORS, LLC

CRD#: 14455 / SEC#: 801-70084, 8-30706

RIA

Registered Investment Advisory firm - SEC (8/14/2009 Approved)

California

Registered Investment Advisory firm - SEC (8/28/2009 Terminated)

Washington

Registered Investment Advisory firm - SEC (8/24/2009 Terminated)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

800 N Brand Blvd. 16th Floor Ep-mn-n2wc, Saint Paul, MN, 55107

Mailing Address

800 N Brand Blvd. 16th Floor, Glendale, CA, 91203

Phone number

(800) 634-1100

Established

Delaware since 06/28/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

244

SEC notice filing (52 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PART 2A OF FORM ADV - FINANCIAL PLANNING SERVICES (2/16/2026)

USBA WRAP BROCHURE - PART 2A APPENDIX 1 (2/16/2026)

Direct owners and executive officers

Name	Position	CRD#
U.S. BANCORP	SOLE MEMBER
BEJASA, EILEEN	SENIOR VICE PRESIDENT AND MANAGING DIRECTOR, BROKER-DEALER OPERATIONS	7002808
CANEVA, DANIEL CESAR	SVP CHIEF OPERATIONS OFFICER	1686099
CLARK, SHANNON KEITH	CHIEF FINANCIAL OFFICER	5829700
ELY, JAMES EUGENE JR.	SENIOR VICE PRESIDENT - SALES	1843373
FERGUSON, KIMBERLY NICOLE	CHIEF EXECUTIVE OFFICER AND MANAGER	4120145
LAWLOR, BETH DEDRICK	EXECUTIVE VICE PRESIDENT	5352662
ROLLAND, JODI THOMPSON	MANAGER	2290884
SALSTROM, KYLE NORMAN	CHIEF COMPLIANCE OFFICER	5025315
TRIPLETT, SHANE T	INSTITUTIONAL SALES MANAGER	1865319

Regulatory assets under management

Total Number of Accounts	3,905
AUM (Assets Under Management)	$ 1,516,483,817

Disclosures

Regulatory Event	4
Arbitration	1

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/19/2025	Cover Page	Report
08/20/2024	Cover Page	Report
11/28/2023	Cover Page	Report
11/21/2023	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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Advisor Monitoring

Firm Stability Insights

Elaine Y. Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Elaine Yefun Lee's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Elaine Yefun Lee's CRS (Customer Relationship Summary).

Certified licenses

Experience

U.S. BANCORP ADVISORS, LLC

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

FIRST REPUBLIC SECURITIES COMPANY, LLC

BANCWEST INVESTMENT SERVICES, INC.

BANCWEST INVESTMENT SERVICES, INC.

U.S. BANCORP ADVISORS, LLC

U.S. BANCORP ADVISORS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

U.S. BANCORP ADVISORS, LLC

U.S. BANCORP ADVISORS, LLC

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

U.S. BANCORP ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/22/2003

Series 63

Date: 6/17/2003

SIE

Date: 10/1/2018

Series 7

Date: 4/3/2003

FINRA

Current Firm

U.S. BANCORP ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

U.S. BANCORP ADVISORS, LLC

TRUST BUT VERIFY

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