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

STEVE LEE

Advisor at CETERA INVESTMENT ADVISERS LLC

PASADENA, CA

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Search this name across graphsid dfx:ria:b4f5a9a4-b24b-d17d-9483-71428df2d71a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 2
On other graphs: 0
Observed: Jul 15, 2009 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: CETERA INVESTMENT ADVISERS 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: Jul 14, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jul 14, 2009
First registration: Jul 15, 2009
Dual registered: yes, broker-dealer
Other names: Chu Young Lee
IAPD individual key: 5523620

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
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jun 27, 2024	n/a	yes	PASADENA, CA	Current employment
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Jun 28, 2022	Jun 19, 2024	no	Whittier, CA\|San Antonio, TX\|Fountain Valley, CA\|Los Angeles, CA\|IRVINE, CA	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Sep 30, 2021	May 3, 2022	no	FULLERTON, CA\|La Habra, CA	Previous registration
U.S. BANCORP INVESTMENTS, INC.	Former SEC adviser	Feb 25, 2019	Sep 28, 2021	no	Whittier, CA\|Los Angeles, CA\|Montbello, CA\|Redlands, CA\|Corona, CA\|Corona, CA\|Banning, CA\|Yucaipa, CA\|Chino, CA\|Chino, CA	Previous registration
U.S. BANCORP INVESTMENTS, INC.	Former SEC adviser	Sep 6, 2017	Dec 6, 2018	no	San Francisco, CA	Previous registration
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Former SEC adviser	May 2, 2013	Aug 21, 2017	no	SAN FRANCISCO, CA\|WALNUT CREEK, CA\|SAN FRANCISCO, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Feb 10, 2012	Mar 6, 2013	no	YORBA LINDA, CA\|NEW YORK, NY\|YORBA LINDA, CA\|ANAHEIM, CA\|YORBA LINDA, CA	Previous registration
U.S. BANCORP ADVISORS, LLC	Bd affiliated wealth	Dec 23, 2009	Jan 31, 2012	no	IRVINE, CA	Previous registration
U.S. BANCORP ADVISORS, LLC	Bd affiliated wealth	Jul 15, 2009	Aug 26, 2009	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
CITIGROUP GLOBAL MARKETS INC.	CETERA INVESTMENT ADVISERS LLC	Jun 19, 2024	Jun 27, 2024	8	Firm change	Ibd to ibd
J.P. MORGAN SECURITIES LLC	CITIGROUP GLOBAL MARKETS INC.	May 3, 2022	Jun 28, 2022	56	Firm change	Wirehouse to ibd
U.S. BANCORP INVESTMENTS, INC.	J.P. MORGAN SECURITIES LLC	Sep 28, 2021	Sep 30, 2021	2	Firm change	Ibd to wirehouse
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	U.S. BANCORP INVESTMENTS, INC.	Aug 21, 2017	Sep 6, 2017	16	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Mar 6, 2013	May 2, 2013	57	Firm change	Other
U.S. BANCORP ADVISORS, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jan 31, 2012	Feb 10, 2012	10	Firm change	Other

Relationships

Registered with (7)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Jun 27, 2024 to presentfactForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Jun 28, 2022 to Jun 19, 2024factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Sep 30, 2021 to May 3, 2022factForm ADV
→ U.S. BANCORP INVESTMENTS, INC.Registered adviserregistration: previous registration
Feb 25, 2019 to Sep 28, 2021factForm ADV
→ BANCWEST INVESTMENT SERVICES, INC. (BWIS)Registered adviserregistration: previous registration
May 2, 2013 to Aug 21, 2017factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Feb 10, 2012 to Mar 6, 2013factForm ADV
→ U.S. BANCORP ADVISORS, LLCRegistered adviserregistration: previous registration
Dec 23, 2009 to Jan 31, 2012factForm ADV

Dated events

Occurred
Jun 19, 2024
Advisor changed firm
Steve Lee left Citigroup Global Markets Inc. for Cetera Investment Advisers Llc (registered 2024-06-27)
Form ADVobserved 5 days ago
Occurred
May 3, 2022
Advisor changed firm
Steve Lee left J.P. Morgan Securities Llc for Citigroup Global Markets Inc. (registered 2022-06-28)
Form ADVobserved 5 days ago