DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

DAVID LEE

Advisor at NET FINANCIAL

KATY, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1f9678f6-44a5-c0d8-76ef-dbdec04b82cf

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jan 13, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: NET FINANCIAL
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 9, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S65|S66|S63
First exam: May 9, 1995
First registration: Jan 13, 2006
Dual registered: yes, broker-dealer
Other names: DAVID YOUNG LEE
IAPD individual key: 2605960

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
NET FINANCIAL	State registered	Sep 11, 2024	n/a	yes	KATY, TX	Current employment
WELLS FARGO ADVISORS	Wirehouse	Apr 8, 2016	Mar 21, 2019	no	HOUSTON, TX\|HOUSTON, TX\|HOUSTON, TX\|HOUSTON, TX\|HOUSTON, TX\|BELLAIRE, TX\|HOUSTON, TX\|HOUSTON, TX\|HOUSTON, TX\|HOUSTON, TX\|HOUSTON, TX\|HOUSTON, TX\|HOUSTON, TX\|HOUSTON, TX\|HOUSTON, TX\|HOUSTON, TX\|BELLAIRE, TX	Previous registration
MORGAN STANLEY	Wirehouse	Nov 27, 2012	Apr 14, 2016	no	Houston, TX	Previous registration
TACTICAL ETF ADVISORS	n/a	Oct 24, 2011	Dec 31, 2012	no	KATY, TX	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Sep 29, 2009	Sep 23, 2011	no	HOUSTON, TX	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Jan 13, 2006	Sep 11, 2009	no	THE WOODLANDS, TX\|The Woodlands, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WELLS FARGO ADVISORS	NET FINANCIAL	Mar 21, 2019	Sep 11, 2024	2,001	Firm change after gap	Wirehouse to state RIA
MORGAN STANLEY	WELLS FARGO ADVISORS	Apr 14, 2016	Apr 8, 2016	-6	Firm change	Wirehouse to wirehouse
TACTICAL ETF ADVISORS	MORGAN STANLEY	Dec 31, 2012	Nov 27, 2012	-34	Firm change after gap	Other
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	TACTICAL ETF ADVISORS	Sep 23, 2011	Oct 24, 2011	31	Firm change	Other
CHARLES SCHWAB & CO., INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Sep 11, 2009	Sep 29, 2009	18	Firm change	Other

Relationships

Registered with (6)

→ NET FINANCIALRegistered adviserregistration: current employment
Sep 11, 2024 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Apr 8, 2016 to Mar 21, 2019factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Nov 27, 2012 to Apr 14, 2016factForm ADV
→ TACTICAL ETF ADVISORSRegistered adviserregistration: previous registration
Oct 24, 2011 to Dec 31, 2012factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Sep 29, 2009 to Sep 23, 2011factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Jan 13, 2006 to Sep 11, 2009factForm ADV

Dated events

No dated event names this entity yet.