Austin K. Lee
Professional summary
Austin Keith Lee, who also goes by Austin Keith Lee, is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in Denver, Colorado.
Austin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Austin has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Austin Keith Lee's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 6, 2026 - Present
ALLIANCEBERNSTEIN L.P.
Office #1: 1400 16th Street Suite 450, Denver, CO 80202April 28, 2017 - June 8, 2020
TRUIST ADVISORY SERVICES, INC.
April 25, 2017 - June 8, 2020
TRUIST INVESTMENT SERVICES, INC.
September 20, 2016 - April 26, 2017
NEW RIVER INVESTMENTS
July 14, 2014 - August 4, 2016
J.P. MORGAN SECURITIES LLC
Primary Firm SEC Registration
ALLIANCEBERNSTEIN L.P.
CRD#: 108477 / SEC#: 801-56720
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(3/6/2026)
Exams
Series 7TO
Date: 1/23/2026
General Securities Representative ExaminationCurrent Firm
ALLIANCEBERNSTEIN L.P.
CRD#: 108477 / SEC#: 801-56720
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 68,593 |
| AUM (Assets Under Management) | $ 709,162,000,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/19/2025 | ||
| 11/25/2024 | ||
| 10/27/2023 |
Red Flags
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