YL
Yueh-hwa Lee
VERUS CAPITAL PARTNERS
Pasadena, CA 91107
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CRD#: 6276831
YL
Professional summary
Yueh-hwa Lee, CFP®, who also goes by Grace Lee, is a registered financial advisor currently at VERUS CAPITAL PARTNERS, LLC located in Pasadena, California and LPL FINANCIAL LLC located in Pasadena, California.
Yueh-hwa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Yueh-hwa has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Grace 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.
1. 6/29/2021 - VINEPOINT ADVISORY GROUP, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 06/01/2017. 2. 08/24/2021 - VERUS CAPITAL PARTNERS, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date: 8/2021 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent: 100% - I provide investment advisory services through VERSUS CAPITAL PARTNERS LLC, an independent investment advisor firm. I started this business activity in 8/2021. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Yueh-hwa Lee'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®
Experience
Current
August 3, 2021 - Present
VERUS CAPITAL PARTNERS, LLC
Office #1: 2700 E Foothill Blvd, Pasadena, CA 91107RIA
CRD#: 151568
Pasadena, CA
Current
June 29, 2021 - Present
LPL FINANCIAL LLC
Office #1: 2700 E Foothill Blvd Ste 210, Pasadena, CA 91107RIA
BD
CRD#: 6413
Pasadena, CA
Past
October 25, 2019 - July 7, 2021
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
IRVING, TX
Past
October 25, 2019 - July 2, 2021
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Pasadena, CA
Past
February 11, 2014 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
Pasadena, CA
Past
February 3, 2014 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
Pasadena, 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".
VC
VERUS CAPITAL PARTNERS, LLC
3 RIVERS FINANCIAL GROUP | WANN FINANCIAL SERVICES | WALTERS WEALTH MANAGMENT | WALTERS WEALTH MANAGEMENT | VINEPOINT ADVISORY GROUP, LLC | VERUS CAPITAL PARTNERS, LLC | UNIVERSAL FINANCIAL CONSULTANTS | SUNBURST FINANCIAL MANAGEMENT | STARKEY BROTHERS, INC. | SOUTH PLATTE INVESTMENTS & PLANNING | SAMSON FINANCIAL, LLC | RSO WEALTH, LLC | RSD FINANCIAL, LLC | PROVIDENT FINANCIAL GROUP | PHP CAPITAL, INC. | PHILLIPS FINANCIAL MANAGEMENT | PARKER CAPITAL STRATEGIES, LLC | OXENHAM FINANCIAL | OPTIMAL WEALTH INC. | NEW BREAK FINANCIAL | MOLINAR AND CO. | KENNETH M. PERKINS WEALTH | ITTNER BULL CAPITAL PARTNERS LLC | INTERMARKET ANALYTICS | HUNT FINANCIAL SERVICES | HOLCOMB WEALTH MANAGEMENT | HAVEN FINANCIAL SERVICES, LLC | GUARDIAN WEALTH BUILDERS | GOLDEN RULE WEALTH MANAGEMENT | GEISER WEALTH MANAGEMENT | FRONT RANGE FINANCIAL | FREEDOM POINT FINANCIAL | FRED A. GOODMAN, CPA | FIRST THAN IFS | EAGLE EYE INVESTMENTS, LLC | DAHL FINANCIAL RESOURCE | CROWE AND ASSOCIATES, INC | BURNS TAX AND WEALTH MANAGEMENT | BIGGS FINANCIAL | BELLA FINANCIAL ADVISORS, LLC | ARCHE FG
CRD#: 151568 / SEC#: 801-78989
RIA
Registered Investment Advisory firm - (1/2/2014 Approved)Arizona
Registered Investment Advisory firm - (1/2/2014 Terminated)Illinois
Registered Investment Advisory firm - (1/2/2014 Terminated)Maryland
Registered Investment Advisory firm - (1/3/2014 Terminated)North Carolina
Registered Investment Advisory firm - (1/2/2014 Terminated)Texas
Registered Investment Advisory firm - (1/2/2014 Terminated)Virginia
Registered Investment Advisory firm - (1/6/2014 Terminated)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(6/29/2021)
IAR
California(8/3/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VC
VERUS CAPITAL PARTNERS, LLC
3 RIVERS FINANCIAL GROUP | WANN FINANCIAL SERVICES | WALTERS WEALTH MANAGMENT | WALTERS WEALTH MANAGEMENT | VINEPOINT ADVISORY GROUP, LLC | VERUS CAPITAL PARTNERS, LLC | UNIVERSAL FINANCIAL CONSULTANTS | SUNBURST FINANCIAL MANAGEMENT | STARKEY BROTHERS, INC. | SOUTH PLATTE INVESTMENTS & PLANNING | SAMSON FINANCIAL, LLC | RSO WEALTH, LLC | RSD FINANCIAL, LLC | PROVIDENT FINANCIAL GROUP | PHP CAPITAL, INC. | PHILLIPS FINANCIAL MANAGEMENT | PARKER CAPITAL STRATEGIES, LLC | OXENHAM FINANCIAL | OPTIMAL WEALTH INC. | NEW BREAK FINANCIAL | MOLINAR AND CO. | KENNETH M. PERKINS WEALTH | ITTNER BULL CAPITAL PARTNERS LLC | INTERMARKET ANALYTICS | HUNT FINANCIAL SERVICES | HOLCOMB WEALTH MANAGEMENT | HAVEN FINANCIAL SERVICES, LLC | GUARDIAN WEALTH BUILDERS | GOLDEN RULE WEALTH MANAGEMENT | GEISER WEALTH MANAGEMENT | FRONT RANGE FINANCIAL | FREEDOM POINT FINANCIAL | FRED A. GOODMAN, CPA | FIRST THAN IFS | EAGLE EYE INVESTMENTS, LLC | DAHL FINANCIAL RESOURCE | CROWE AND ASSOCIATES, INC | BURNS TAX AND WEALTH MANAGEMENT | BIGGS FINANCIAL | BELLA FINANCIAL ADVISORS, LLC | ARCHE FG
CRD#: 151568 / SEC#: 801-78989
RIA
Registered Investment Advisory firm - (1/2/2014 Approved)Arizona
Registered Investment Advisory firm - (1/2/2014 Terminated)Illinois
Registered Investment Advisory firm - (1/2/2014 Terminated)Maryland
Registered Investment Advisory firm - (1/3/2014 Terminated)North Carolina
Registered Investment Advisory firm - (1/2/2014 Terminated)Texas
Registered Investment Advisory firm - (1/2/2014 Terminated)Virginia
Registered Investment Advisory firm - (1/6/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
8300 N Hayden Rd Suite A207, Scottsdale, AZ 85258
Mailing Address
Phone number
(480) 990-3719
Established
Firm type
Fiscal year end
# of Employees
49
SEC notice filing (35 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,392 |
| AUM (Assets Under Management) | $ 2,066,642,798 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
