Frances Y. Lee

COLDSTREAM WEALTH MANAGEMENT

Bellevue, WA 98004

Some features on this profile are disabled

CRD#: 6349097

Professional summary

Frances Young Lee is a registered financial advisor currently at COLDSTREAM WEALTH MANAGEMENT located in Bellevue, Washington.

Frances is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Frances has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 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.

Frances' primary business activity is working as a registered investment advisor for Coldstream Wealth Management, an affiliate of Coldstream Securities Inc.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frances Young 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

May 29, 2019 - Present

COLDSTREAM WEALTH MANAGEMENT

Office #1: One - 100th Avenue Ne Suite 102, Bellevue, WA 98004

RIA

CRD#: 108805

Bellevue, WA

Past

May 29, 2019 - November 26, 2024

COLDSTREAM SECURITIES, INC.

CRD#: 46835

BELLEVUE, WA

Past

March 27, 2017 - May 20, 2019

STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC

RIA

CRD#: 1254

SEATTLE, WA

Past

March 27, 2017 - May 20, 2019

STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC

CRD#: 1254

SEATTLE, WA

Past

November 3, 2015 - November 9, 2016

CAPITAL ONE ADVISORS, LLC

RIA

CRD#: 136865

Seattle, WA

Past

June 2, 2015 - November 9, 2016

CAPITAL ONE INVESTING, LLC

CRD#: 45744

SEATTLE, WA

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".

COLDSTREAM WEALTH MANAGEMENT

COLDSTREAM | COLDSTREAM WEALTH MANAGEMENT | COLDSTREAM CAPITAL MANAGEMENT INC

CRD#: 108805 / SEC#: 801-39379

RIA

Registered Investment Advisory firm - (7/23/1991 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

Washington
(5/29/2019)

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

State Security Law Exam

IAR

Series 66

Date: 11/2/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/19/2015

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: 6/2/2015

General Securities Representative Examination

Current Firm

COLDSTREAM WEALTH MANAGEMENT

COLDSTREAM | COLDSTREAM WEALTH MANAGEMENT | COLDSTREAM CAPITAL MANAGEMENT INC

CRD#: 108805 / SEC#: 801-39379

RIA

Registered Investment Advisory firm - (7/23/1991 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

One - 100th Avenue Ne Suite 102, Bellevue, WA 98004

Mailing Address

Phone number

(425) 283-1600

Established

Firm type

Fiscal year end

# of Employees

195

SEC notice filing (33 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV - PART 2A - CWM - 2025 06 17 (6/17/2025)

Regulatory assets under management

Total Number of Accounts	4,519
AUM (Assets Under Management)	$ 12,438,532,202

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/25/2025	Cover Page	Report
08/27/2024	Cover Page	Report
09/29/2023	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.

Similar Advisors

Dale Miller

MORGAN STANLEY

IAR

Moscow, ID

Gregg Quinn

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Redmond, WA

Alyssa Jarman

OSAIC WEALTH, INC.

IAR

Bellevue, WA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Frances Y. Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

COLDSTREAM SECURITIES, INC.

STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC

STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC

CAPITAL ONE ADVISORS, LLC

CAPITAL ONE INVESTING, LLC

Primary Firm SEC Registration

COLDSTREAM WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 11/2/2015

Series 63

Date: 8/19/2015

SIE

Date: 10/1/2018

Series 7

Date: 6/2/2015

Current Firm

COLDSTREAM WEALTH MANAGEMENT

Contact information

SEC notice filing (33 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

COLDSTREAM WEALTH MANAGEMENT

TRUST BUT VERIFY

Similar Advisors