DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

PAUL SANGYOP LEE

Advisor at KINGSWOOD WEALTH ADVISORS, LLC

SAN DIEGO, CA | Fullerton, CA

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:af1ef11f-5c81-c36d-17ce-2abc07348ce3

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 0
Observed: Sep 25, 2008 to Sep 15, 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: KINGSWOOD WEALTH ADVISORS, 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: Sep 24, 2008earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 9
Current registrations: 1
Registered states: 15
Exams: S66
First exam: Sep 24, 2008
First registration: Sep 25, 2008
Dual registered: yes, broker-dealer
Other names: PAUL SANGYOP|PAUL SANGYOP LEE|PAUL S LEE
IAPD individual key: 5541067

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
KINGSWOOD WEALTH ADVISORS, LLC	Bd affiliated wealth	Oct 22, 2021	n/a	yes	Fullerton, CA\|SAN DIEGO, CA	Current employment
MIRAE ASSET WEALTH MANAGEMENT (USA) INC.	n/a	Sep 8, 2015	Nov 5, 2021	no	Los Angeles, CA	Previous registration
GENTER ADVISORS LLC	Independent wealth	Apr 2, 2015	Aug 22, 2016	no	LOS ANGELES, CA	Previous registration
GENTER CAPITAL MANAGEMENT	Independent wealth	Apr 2, 2015	Aug 22, 2016	no	LOS ANGELES, CA	Previous registration
PRIVATE ADVISORY	Independent wealth	Sep 12, 2014	Mar 10, 2015	no	ALISO VIEJO, CA\|REDMOND, WA	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Sep 8, 2011	Apr 9, 2014	no	RANCH CUCAMONGA, CA\|IRVINE, CA	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Sep 8, 2011	Apr 9, 2014	no	Upland, CA\|Irvine, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Apr 24, 2009	Jun 23, 2011	no	ANAHEIM, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Dec 4, 2008	Apr 29, 2009	no	SEAL BEACH, CA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Sep 25, 2008	Nov 26, 2008	no	IRVINE, 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
MIRAE ASSET WEALTH MANAGEMENT (USA) INC.	KINGSWOOD WEALTH ADVISORS, LLC	Nov 5, 2021	Oct 22, 2021	-14	Firm change	Other
GENTER CAPITAL MANAGEMENT	MIRAE ASSET WEALTH MANAGEMENT (USA) INC.	Aug 22, 2016	Sep 8, 2015	-349	Firm change after gap	Other
GENTER ADVISORS LLC	GENTER CAPITAL MANAGEMENT	Aug 22, 2016	Apr 2, 2015	-508	Firm change after gap	Other
PRIVATE ADVISORY	GENTER ADVISORS LLC	Mar 10, 2015	Apr 2, 2015	23	Firm change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Apr 9, 2014	Sep 8, 2011	-944	Channel change	Other
TD AMERITRADE, INC.	PRIVATE ADVISORY	Apr 9, 2014	Sep 12, 2014	156	Firm change	Other
WELLS FARGO ADVISORS	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Jun 23, 2011	Sep 8, 2011	77	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WELLS FARGO ADVISORS	Apr 29, 2009	Apr 24, 2009	-5	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Nov 26, 2008	Dec 4, 2008	8	Firm change	Other

Relationships

Registered with (10)

→ KINGSWOOD WEALTH ADVISORS, LLCRegistered adviserregistration: current employment
Oct 22, 2021 to presentfactForm ADV
→ MIRAE ASSET WEALTH MANAGEMENT (USA) INC.Registered adviserregistration: previous registration
Sep 8, 2015 to Nov 5, 2021factForm ADV
→ GENTER CAPITAL MANAGEMENTRegistered adviserregistration: previous registration
Apr 2, 2015 to Aug 22, 2016factForm ADV
→ GENTER ADVISORS LLCRegistered adviserregistration: previous registration
Apr 2, 2015 to Aug 22, 2016factForm ADV
→ PRIVATE ADVISORYRegistered adviserregistration: previous registration
Sep 12, 2014 to Mar 10, 2015factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Sep 8, 2011 to Apr 9, 2014factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Sep 8, 2011 to Apr 9, 2014factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Apr 24, 2009 to Jun 23, 2011factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Dec 4, 2008 to Apr 29, 2009factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Sep 25, 2008 to Nov 26, 2008factForm ADV

Dated events

No dated event names this entity yet.