Lee Pullan
Professional Summary
Lee Pullan, who also goes by Stan Lee Pullan, was a registered financial advisor. Lee was a previously registered financial professional and started their career in finance 2007 - 2023. Lee had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Stan Lee Pullan
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
19 years in the financial services industry
Current & Past Employments
Past
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Current Firm
CITY NATIONAL SECURITIES, INC. | RBC SECURITIES, INC. | RBC SECURITIES, INC
Contact Information
Main Address
555 South Flower Street 11th Floor, Los Angeles, CA 90071Mailing Address
555 South Flower Street 11th Floor, Los Angeles, CA 90071Phone Number
(310) 888-6400Established
California since 11/03/1999Firm Type
CorporationFiscal Year End
OctoberFirm Size
Medium# of Employees
186SEC notice filing (31 States and Territories)
Registered to provide investment advisory services in 31 US states and territories.
FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 31 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC USA HOLDCO CORPORATION | OWNER | — |
| BARTON, RICHARD JOSEPH | CHIEF COMPLIANCE OFFICER | 2040869 |
| DANIEL, JOBY SWANKUTTY | BOARD DIRECTOR | 6616727 |
| GIAQUINTO, GREGG | BOARD DIRECTOR | 3182583 |
| MAGUIRE, WILLIAM JOHN JR | PRESIDENT, CHIEF EXECUTIVE OFFICER & BOARD DIRECTOR | 2040885 |
| O'KEEFFE, IVOR PATRICK | CHIEF OPERATING OFFICER & BOARD DIRECTOR | 2397120 |
| RICATTI, JENNIFER LEE | VP & CHIEF FINANCIAL OFFICER | 4404128 |
| RILEY, SHAWN DAVID | BOARD DIRECTOR | 7574191 |
| WILLIAMS, BRANDON | CHAIRMAN OF THE BOARD | 2764403 |
Regulatory Assets Under Management
Total Number of Accounts
1,781AUM (Assets Under Management)
$1,515,102,638Disclosures
Regulatory Event
3Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/27/2026 | Cover Page | Report |
| 01/28/2025 | Cover Page | Report |
| 10/27/2023 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
CITY NATIONAL SECURITIES, INC. | RBC SECURITIES, INC. | RBC SECURITIES, INC
State Registrations and Notice Filings
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.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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