Cynthia Lee

INVESCO ADVISERS

NEW YORK, NY 10281

CRD#: 5382535

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Professional summary

Cynthia Lee, who also goes by Cindy Lee, Cynthia Joan Lee, is a registered financial advisor currently at INVESCO ADVISERS, INC. located in New York, New York and INVESCO DISTRIBUTORS, INC. located in New York, New York.

Cynthia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Cynthia has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Cindy Lee | Cynthia Joan 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 Cynthia 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

June 7, 2025 - Present

INVESCO ADVISERS, INC.

Office #1: 225 Liberty St, New York, NY 10281

RIA

CRD#: 105360

NEW YORK, NY

Current

June 5, 2025 - Present

INVESCO DISTRIBUTORS, INC.

Office #1: 225 Liberty St 11th Floor, New York, NY 10281

CRD#: 7369

NEW YORK, NY

Past

January 30, 2020 - April 8, 2025

NEUBERGER BERMAN BD LLC

RIA

CRD#: 2908

NEW YORK, NY

Past

September 27, 2019 - April 8, 2025

NEUBERGER BERMAN BD LLC

CRD#: 2908

NEW YORK, NY

Past

July 2, 2018 - August 27, 2019

JPMORGAN DISTRIBUTION SERVICES, INC.

CRD#: 104234

NEW YORK, NY

Past

November 12, 2014 - July 10, 2018

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

CRD#: 25567

NEW YORK, NY

Past

June 21, 2010 - November 7, 2014

MORGAN STANLEY DISTRIBUTION, INC.

CRD#: 30344

NEW YORK, NY

Past

December 20, 2007 - July 23, 2008

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

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".

INVESCO ADVISERS, INC.

INVESCO ADVISERS, INC. | INVESCO, INC | INVESCO INSTITUTIONAL (N.A.), INC.

CRD#: 105360 / SEC#: 801-33949

RIA

Registered Investment Advisory firm - (12/30/1988 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

California
(6/5/2025)

Colorado
(11/19/2025)

Connecticut
(6/5/2025)

Delaware
(6/5/2025)

Florida
(6/5/2025)

Illinois
(11/19/2025)

Missouri
(11/19/2025)

New Jersey
(6/5/2025)

New York
(6/5/2025)

IAR

Texas
(6/7/2025)

Utah
(6/5/2025)

Washington
(6/5/2025)

Wisconsin
(11/19/2025)

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 65

Date: 1/27/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/5/2008

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: 12/19/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

INVESCO ADVISERS, INC.

INVESCO ADVISERS, INC. | INVESCO, INC | INVESCO INSTITUTIONAL (N.A.), INC.

CRD#: 105360 / SEC#: 801-33949

RIA

Registered Investment Advisory firm - (12/30/1988 Approved)

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Contact information

Main Address

1331 Spring Street Nw Suite 2500, Atlanta, GA 30309

Mailing Address

11 Greenway Plaza Suite 1000, Houston, TX 77046

Phone number

(404) 892-0896

Established

Firm type

Fiscal year end

# of Employees

2,872

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

INVESCO ADVISERS, INC. FIRM BROCHURE (12/23/2025)

Regulatory assets under management

Total Number of Accounts	61,236
AUM (Assets Under Management)	$ 756,881,223,229

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/24/2025	Cover Page	Report
09/27/2024	Cover Page	Report
10/27/2023	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

Cynthia Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

INVESCO DISTRIBUTORS, INC.

NEUBERGER BERMAN BD LLC

NEUBERGER BERMAN BD LLC

JPMORGAN DISTRIBUTION SERVICES, INC.

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

MORGAN STANLEY DISTRIBUTION, INC.

BANC OF AMERICA SECURITIES LLC

Primary Firm SEC Registration

INVESCO ADVISERS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/27/2020

Series 63

Date: 1/5/2008

SIE

Date: 10/1/2018

Series 7

Date: 12/19/2007

FINRA

Current Firm

INVESCO ADVISERS, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

INVESCO ADVISERS, INC.

TRUST BUT VERIFY

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