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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)27 years in industry

WARREN EDWARD LEE

Advisor at LPL ENTERPRISE, LLC

ATLANTA, GA

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Search this name across graphsid dfx:ria:a1d6e197-46f7-25e3-33dc-1abb70d5c127

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Apr 17, 2003 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 ENTERPRISE, 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: Jun 28, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66|S63
First exam: Jun 28, 1999
First registration: Apr 17, 2003
Dual registered: yes, broker-dealer
Other names: WARREN EDWARD LEE
IAPD individual key: 3246138

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 ENTERPRISE, LLC	Bd affiliated wealth	Feb 18, 2026	n/a	yes	ATLANTA, GA	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Nov 20, 2023	Feb 23, 2024	no	Atlanta, GA	Previous registration
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Mar 21, 2023	Nov 21, 2023	no	Atlanta, GA	Previous registration
CETERA ADVISOR NETWORKS LLC	Former SEC adviser	Jun 9, 2021	Jun 29, 2023	no	Gainesville, GA\|ATLANTA, GA	Previous registration
VOYA FINANCIAL ADVISORS, INC.	Bd affiliated wealth	May 16, 2011	Jun 9, 2021	no	ATLANTA, GA\|DULUTH, GA\|WINDSOR, CT	Previous registration
QA3 FINANCIAL LLC	n/a	Sep 25, 2003	Feb 11, 2011	no	OMAHA, NE\|ATLANTA, GA	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Apr 17, 2003	Sep 22, 2003	no	ATLANTA, GA	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
AMERIPRISE FINANCIAL SERVICES, LLC	LPL ENTERPRISE, LLC	Feb 23, 2024	Feb 18, 2026	726	Firm change after gap	Ibd to ibd
CETERA INVESTMENT ADVISERS LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Nov 21, 2023	Nov 20, 2023	-1	Firm change	Ibd to ibd
CETERA ADVISOR NETWORKS LLC	CETERA INVESTMENT ADVISERS LLC	Jun 29, 2023	Mar 21, 2023	-100	Bulk transfer	Ibd to ibd
VOYA FINANCIAL ADVISORS, INC.	CETERA ADVISOR NETWORKS LLC	Jun 9, 2021	Jun 9, 2021	0	Firm change	Ibd to ibd
QA3 FINANCIAL LLC	VOYA FINANCIAL ADVISORS, INC.	Feb 11, 2011	May 16, 2011	94	Firm change	Other
PRUCO SECURITIES, LLC	QA3 FINANCIAL LLC	Sep 22, 2003	Sep 25, 2003	3	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
2882:13572:CT:2021-06-09	Jun 9, 2021	Jun 9, 2021	WINDSOR, CT	Firm change

Relationships

Registered with (7)

→ LPL ENTERPRISE, LLCRegistered adviserregistration: current employment
Feb 18, 2026 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Nov 20, 2023 to Feb 23, 2024factForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Mar 21, 2023 to Nov 21, 2023factForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviserregistration: previous registration
Jun 9, 2021 to Jun 29, 2023factForm ADV
→ VOYA FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
May 16, 2011 to Jun 9, 2021factForm ADV
→ QA3 FINANCIAL LLCRegistered adviserregistration: previous registration
Sep 25, 2003 to Feb 11, 2011factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Apr 17, 2003 to Sep 22, 2003factForm ADV

Dated events

Occurred
Feb 23, 2024
Advisor changed firm
Warren Edward Lee left Ameriprise Financial Services, Llc for Lpl Enterprise, Llc (registered 2026-02-18)
Form ADVobserved 6 days ago
Occurred
Nov 21, 2023
Advisor changed firm
Warren Edward Lee left Cetera Investment Advisers Llc for Ameriprise Financial Services, Llc (registered 2023-11-20)
Form ADVobserved 6 days ago