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RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

PATRICK ALLEN LEE

Advisor at LPL FINANCIAL LLC

LAS VEGAS, NV

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Search this name across graphsid dfx:ria:2105283b-b26e-d988-1076-91c52d623c67

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: May 20, 2002 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: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 6, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Mar 6, 1987
First registration: May 20, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 711925

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
LPL FINANCIAL LLC	Bd affiliated wealth	Nov 1, 2018	n/a	yes	LAS VEGAS, NV	Current employment
SEQUOIA WEALTH ADVISORS & INVESTMENT MANAGEMENT, INC.	n/a	Mar 30, 2020	Sep 17, 2022	no	SAN JOSE, CA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Jul 16, 2014	Sep 19, 2018	no	SAN DIEGO, CA\|SAN DIEGO, CA	Previous registration
LASALLE ST. INVESTMENT ADVISORS, L.L.C.	Bd affiliated wealth	Feb 5, 2014	Apr 4, 2014	no	SAN DIEGO, CA	Previous registration
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Oct 10, 2012	Jan 20, 2014	no	SAN DIEGO, CA	Previous registration
TORREY PINES SECURITIES, INC.	n/a	Apr 26, 2011	Dec 30, 2011	no	SANTA MONICA, CA\|SAN DIEGO, CA\|SAN DIEGO, CA\|SAN DIEGO, CA	Previous registration
GIRARD SECURITIES, INC.	Former SEC adviser	Apr 8, 2009	Apr 21, 2011	no	SAN DIEGO, CA\|SAN DIEGO, CA\|SAN DIEGO, CA\|SPRINGFIELD, MO	Previous registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Mar 28, 2005	Apr 13, 2009	no	SAN DIEGO, CA	Previous registration
CAMBRIDGE INVESTMENT RESEARCH, INC.	n/a	May 20, 2002	Mar 28, 2005	no	SAN DIEGO, CA	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
SEQUOIA WEALTH ADVISORS & INVESTMENT MANAGEMENT, INC.	n/a	Sep 17, 2022	n/a	n/a	Departure no registered destination	Departure
LASALLE ST. INVESTMENT ADVISORS, L.L.C.	LPL FINANCIAL LLC	Apr 4, 2014	Jul 16, 2014	103	Firm change	Other
SECURITIES AMERICA ADVISORS, INC.	LASALLE ST. INVESTMENT ADVISORS, L.L.C.	Jan 20, 2014	Feb 5, 2014	16	Firm change	Other
TORREY PINES SECURITIES, INC.	SECURITIES AMERICA ADVISORS, INC.	Dec 30, 2011	Oct 10, 2012	285	Firm change	Other
GIRARD SECURITIES, INC.	TORREY PINES SECURITIES, INC.	Apr 21, 2011	Apr 26, 2011	5	Firm change	Other
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	GIRARD SECURITIES, INC.	Apr 13, 2009	Apr 8, 2009	-5	Firm change	Other
CAMBRIDGE INVESTMENT RESEARCH, INC.	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Mar 28, 2005	Mar 28, 2005	0	Bulk transfer	Other

Relationships

Registered with (8)

→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jul 16, 2014 to Sep 19, 2018factForm ADV
→ SEQUOIA WEALTH ADVISORS & INVESTMENT MANAGEMENT, INC.Registered adviserregistration: previous registration
Mar 30, 2020 to Sep 17, 2022factForm ADV
→ LASALLE ST. INVESTMENT ADVISORS, L.L.C.Registered adviserregistration: previous registration
Feb 5, 2014 to Apr 4, 2014factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Oct 10, 2012 to Jan 20, 2014factForm ADV
→ TORREY PINES SECURITIES, INC.Registered adviserregistration: previous registration
Apr 26, 2011 to Dec 30, 2011factForm ADV
→ GIRARD SECURITIES, INC.Registered adviserregistration: previous registration
Apr 8, 2009 to Apr 21, 2011factForm ADV
→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: previous registration
Mar 28, 2005 to Apr 13, 2009factForm ADV
→ CAMBRIDGE INVESTMENT RESEARCH, INC.Registered adviserregistration: previous registration
May 20, 2002 to Mar 28, 2005factForm ADV

Dated events

Occurred
Sep 17, 2022
Advisor departed, no destination yet
Patrick Allen Lee no longer registered at Sequoia Wealth Advisors & Investment Management, Inc.; no later IA registration on IAPD
Form ADVobserved 5 days ago