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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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LE

Lee V. Erby

FIRST CITIZENS INVESTOR SERVICES
San Francisco, CA 94105
Some features on this profile are disabled
CRD#: 5291267
LE

Professional summary

Lee Vann Erby JR, who also goes by Lee Vann Erby Jr., Lee Vann Erby, Lee Erby, is a registered financial advisor currently at FIRST CITIZENS INVESTOR SERVICES, INC. located in San Francisco, California and SVB WEALTH located in San Francisco, California.

Lee is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Lee has worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Lee Vann Erby Jr. | Lee Vann Erby | Lee Erby

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 Lee Vann Erby JR'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

November 18, 2025 - Present

FIRST CITIZENS INVESTOR SERVICES, INC.

Office #1: 222 2nd Street 18th Floor, San Francisco, CA 94105
RIA
BD
CRD#: 44430
San Francisco, CA
Current

April 21, 2026 - Present

SVB WEALTH

Office #1: 222 2nd Street 18th Floor, San Francisco, CA 94105
RIA
CRD#: 172832
San Francisco, CA
Current

November 18, 2025 - Present

FIRST CITIZENS INVESTOR SERVICES, INC.

Office #1: 222 2nd Street 18th Floor, San Francisco, CA 94105
RIA
BD
CRD#: 44430
San Francisco, CA
Past

June 20, 2024 - October 7, 2025

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
San Francisco, CA
Past

June 20, 2024 - October 7, 2025

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
San Francisco, CA
Past

September 6, 2022 - April 10, 2024

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
SAN FRANCISCO, CA
Past

September 6, 2022 - April 10, 2024

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
SAN FRANCISCO, CA
Past

September 6, 2022 - April 10, 2024

CITI PRIVATE ALTERNATIVES, LLC

BD
CRD#: 153777
San Francisco, CA
Past

August 20, 2010 - July 26, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
WALNUT CREEK, CA
Past

August 20, 2010 - July 26, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
WALNUT CREEK, CA
Past

May 11, 2009 - December 2, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
NAPA, CA
Past

May 11, 2009 - December 2, 2009

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
NAPA, CA
Past

July 20, 2007 - May 12, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NAPA, CA
Past

May 11, 2007 - May 12, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NAPA, CA

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".
SW
SVB WEALTH
BANYAN PARTNERS | SVB WEALTH LLC | SVB WEALTH | SVB PRIVATE | KLS, A DIVISION OF SVB WEALTH LLC | KLS, A DIVISION OF BOSTON PRIVATE | BP WEALTH MANAGEMENT, LLC | BP WEALTH MANAGEMENT | BOSTON PRIVATE, AN SVB COMPANY | BOSTON PRIVATE WEALTH MANAGEMENT | BOSTON PRIVATE WEALTH LLC | BOSTON PRIVATE WEALTH | BOSTON PRIVATE

CRD#: 172832 / SEC#: 801-80480

RIA
Registered Investment Advisory firm - (10/2/2014 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.
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
California
(11/18/2025)
IAR
California
(11/18/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/19/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/10/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 10/5/2012
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 8/21/2012
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

SW
SVB WEALTH
BANYAN PARTNERS | SVB WEALTH LLC | SVB WEALTH | SVB PRIVATE | KLS, A DIVISION OF SVB WEALTH LLC | KLS, A DIVISION OF BOSTON PRIVATE | BP WEALTH MANAGEMENT, LLC | BP WEALTH MANAGEMENT | BOSTON PRIVATE, AN SVB COMPANY | BOSTON PRIVATE WEALTH MANAGEMENT | BOSTON PRIVATE WEALTH LLC | BOSTON PRIVATE WEALTH | BOSTON PRIVATE

CRD#: 172832 / SEC#: 801-80480

RIA
Registered Investment Advisory firm - (10/2/2014 Approved)
PREMIUM
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Contact information

Main Address
53 State Street 28th Floor, Boston, MA 02109
Mailing Address
Po Box 27131, Raleigh, NC 27611
Phone number
(617) 223-0200
Established
Firm type
Fiscal year end
# of Employees
85

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SVB WEALTH LLC (3/30/2025)
SVB WEALTH LLC APPENDIX 1/ WRAP BROCHURE (3/30/2025)

Regulatory assets under management

Total Number of Accounts3,739
AUM (Assets Under Management)$ 4,983,411,995

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
02/21/2025
Cover Page
Report
09/20/2024
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.

Company Information

SVB WEALTH

CRD#: 172832San Francisco, CA 94105

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