SL
Samuel W. Lee
CETERA INVESTMENT ADVISERS LLC
ROSEBURG, OR 97470
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CRD#: 5345920
SL
Professional summary
Samuel Wallace Lee III is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Roseburg, Oregon and CETERA WEALTH SERVICES, LLC located in Roseburg, Oregon.
Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Samuel has worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 02/2018 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELL LIFE, ANNUITIES AND LONG TERM CARE 2. NAME OF OTHER BUSINESS: L3 RANCH INVESTMENT RELATED: NO ADDRESS: ROSEBURG OR NATURE OF BUSINESS: RANCHING START DATE: 01/1990 POSITION/TITLE/RELATIONSHIP: CO-OWNER APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: RAISE CATTLE AND SHEEP 3.NAME OF OTHER BUSINESS: WESTERN FINANCIAL INC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INVESTMENT & ADVISORY SERVICES START DATE: 2/2018 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 POSITION/TITLE/RELATIONSHIP: SECRETARY BRIEF DESCRIPTION OF DUTIES: DBA 4. NAME OF OTHER BUSINESS: DOUGLAS COUNTY INVESTMENT RELATED: NO, ADDRESS: 1036 S.E. DOUGLAS AVE, ROSEBURG, OR, 97470 NATURE OF BUSINESS: LOCAL GOVERNMENT, START DATE:01/2021, POSITION/TITLE/RELATIONSHIP: TREASURER, APX NUMBER OF HOURS PER WEEK: 5, MAY BE TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: OVERSIGHT OF FIXED INCOME PORTFOLIO; 5. NAME OF OTHER BUSINESS: RIVER RANCH CAMP GROUND; INVESTMENT RELATED: NO; ADDRESS: 6165 N BANK RD, ROSEBURG, OR 97470; NATURE OF BUSINESS: CAMP GROUND; START DATE: 1/2023; POSITION/TITLE/RELATIONSHIP: PARTIAL OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: PARTIAL OWNER OF CAMP GROUND;
CRS (Client Relationship Summary) - RIA
Click below to view Samuel Wallace Lee III'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®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1294 Nw Highland St, Roseburg, OR 97470RIA
CRD#: 105644
ROSEBURG, OR
Current
February 16, 2018 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1294 Nw Highland St, Roseburg, OR 97470BD
CRD#: 13572
ROSEBURG, OR
Past
February 16, 2018 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
ROSEBURG, OR
Past
April 28, 2010 - February 16, 2018
D.A. DAVIDSON & CO.
RIA
CRD#: 199
ROSEBURG, OR
Past
April 28, 2010 - February 16, 2018
D.A. DAVIDSON & CO.
BD
CRD#: 199
ROSEBURG, OR
Past
June 1, 2009 - May 24, 2010
MORGAN STANLEY
RIA
CRD#: 149777
ROSEBURG, OR
Past
June 1, 2009 - May 24, 2010
MORGAN STANLEY
BD
CRD#: 149777
ROSEBURG, OR
Past
August 30, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
ROSEBURG, OR
Past
July 6, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
ROSEBURG, OR
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.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(2/7/2020)
RR
California(2/16/2018)
RR
Idaho(2/16/2018)
RR
Oregon(2/16/2018)
IAR
Oregon(6/29/2023)
RR
Texas(3/9/2020)
IAR
Texas(6/29/2023)
RR
Utah(10/30/2024)
RR
Washington(2/16/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Roseburg, OR 97470TRUST BUT VERIFY
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