AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

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.

Pricing
For Advisors
SL

Stephanie J. Lee

EAST ROCK FINANCIAL SERVICES
Burlingame, CA
Some features on this profile are disabled
CRD#: 5580394
SL

Professional summary

Stephanie Jeanne Lee, CFP®, who also goes by Stephanie Jeanne Lee Steph, is a registered financial advisor currently at EAST ROCK FINANCIAL SERVICES, LLC located in Burlingame, California.

Stephanie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Stephanie has worked at 1 firm and has passed the Series 65 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Stephanie Jeanne Lee Steph

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.
MUSICIAN UNDER MY NAME, NOT INVESTMENT RELATED, 330 BLOOMFIELD RD, BURLINGAME, CA, 94010, SOLE PROPRIETOR, STARTED 1987, APPROX. 40 HRS. PER MONTH, NONE DURING SECURITIES TRADING HOURS, DUTIES ARE TO PERFORM MUSIC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephanie Jeanne 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®
CFP®

Certified Financial Planner

Experience

Current

November 20, 2008 - Present

EAST ROCK FINANCIAL SERVICES, LLC

RIA
CRD#: 147949
Burlingame, 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".
ER
EAST ROCK FINANCIAL SERVICES, LLC
EAST ROCK FINANCIAL SERVICES | LEE, STEPHANIE, JEANNE | EAST ROCK FINANCIAL SERVICES, LLC

CRD#: 147949 / SEC#: 801-132755

RIA
Registered Investment Advisory firm - (5/13/2025 Approved)
California
Registered Investment Advisory firm - (11/20/2008 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.

Highlighted states indicate IAR registrations

IAR
California
(11/20/2008)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/28/2008
Uniform Investment Adviser Law Examination

Current Firm

ER
EAST ROCK FINANCIAL SERVICES, LLC
EAST ROCK FINANCIAL SERVICES | LEE, STEPHANIE, JEANNE | EAST ROCK FINANCIAL SERVICES, LLC

CRD#: 147949 / SEC#: 801-132755

RIA
Registered Investment Advisory firm - (5/13/2025 Approved)
California
Registered Investment Advisory firm - (11/20/2008 Approved)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Burlingame, CA
Mailing Address
329 Primrose Rd, #117220, Burlingame, CA 94011
Phone number
(415) 779-2008
Established
Firm type
Fiscal year end
# of Employees
3

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A (4/9/2025)

Regulatory assets under management

Total Number of Accounts39
AUM (Assets Under Management)$ 111,383,135

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

EAST ROCK FINANCIAL SERVICES, LLC

CRD#: 147949Burlingame, CA

TRUST BUT VERIFY

Monitor Stephanie Lee

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics