Charles D. Lee

THE STERLING GROUP

Pasadena, CA 91101

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CRD#: 7561109

Professional summary

Charles Davis Lee, who also goes by Charlie Lee, is a registered financial advisor currently at THE STERLING GROUP located in Pasadena, California and LPL FINANCIAL LLC located in Pasadena, California.

Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Charles has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charlie 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Davis 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

February 20, 2026 - Present

THE STERLING GROUP

Office #1: 225 S. Lake Avenue Suite 1075, Pasadena, CA 91101

RIA

CRD#: 111782

Pasadena, CA

Current

October 8, 2024 - Present

LPL FINANCIAL LLC

Office #1: 225 S Lake Ave Suite 1075, Pasadena, CA 91101-4860

RIA

CRD#: 6413

Pasadena, CA

Past

October 9, 2024 - October 21, 2024

LPL FINANCIAL LLC

RIA

CRD#: 6413

FORT MILL, SC

Past

September 27, 2023 - October 10, 2024

OSAIC FA, INC.

RIA

CRD#: 3978

IRVINE, CA

Past

May 17, 2023 - October 10, 2024

OSAIC FA, INC.

CRD#: 3978

IRVINE, 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".

THE STERLING GROUP

PASADENA FINANCIAL ADVISORS INC. | THE STERLING GROUP | STERLING GROUP WEALTH MANGEMENT, LLC | STERLING GROUP WEALTH MANAGEMENT, LLC

CRD#: 111782 / SEC#: 801-77006

RIA

Registered Investment Advisory firm - (8/10/2012 Approved)

California

Registered Investment Advisory firm - (9/11/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

California
(10/8/2024)

IAR

California
(2/20/2026)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/25/2023

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/17/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 12/2/2022

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

THE STERLING GROUP

PASADENA FINANCIAL ADVISORS INC. | THE STERLING GROUP | STERLING GROUP WEALTH MANGEMENT, LLC | STERLING GROUP WEALTH MANAGEMENT, LLC

CRD#: 111782 / SEC#: 801-77006

RIA

Registered Investment Advisory firm - (8/10/2012 Approved)

California

Registered Investment Advisory firm - (9/11/2012 Terminated)

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Contact information

Main Address

225 S. Lake Avenue Suite 1075, Pasadena, CA 91101

Mailing Address

Phone number

(626) 440-5995

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP PROGRAM (9/26/2025)

FIRM BROCHURE (9/26/2025)

Regulatory assets under management

Total Number of Accounts	808
AUM (Assets Under Management)	$ 396,607,926

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.

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Advisor Monitoring

Firm Stability Insights

Charles D. Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Davis Lee's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

OSAIC FA, INC.

OSAIC FA, INC.

Primary Firm SEC Registration

THE STERLING GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 9/25/2023

Series 7TO

Date: 5/17/2023

SIE

Date: 12/2/2022

FINRA

Current Firm

THE STERLING GROUP

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE STERLING GROUP

TRUST BUT VERIFY

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