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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

BETTY WON LEE

Advisor at CETERA INVESTMENT ADVISERS LLC

WALNUT CREEK, CA

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Search this name across graphsid dfx:ria:b9498a2f-d703-1475-7d57-96efc2752283

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 31, 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: 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: Apr 4, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Apr 4, 1997
First registration: Jan 31, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 2865630

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	Jan 16, 2024	n/a	yes	WALNUT CREEK, CA	Current employment
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Mar 14, 2016	Jan 24, 2024	no	San Francisco, CA\|WALNUT CREEK, CA\|Roseville, CA	Previous registration
U.S. BANCORP ADVISORS, LLC	Bd affiliated wealth	Dec 14, 2004	Jan 21, 2016	no	SAN FRANCISCO, CA\|KENTFIELD, CA\|SAN FRANCISCO, CA\|KENTFIELD, CA\|DANVILLE, CA\|PETALUMA, CA\|SAN RAFAEL, CA\|SAN RAMON, CA\|ORINDA, CA\|LOS ANGELES, CA\|MARTINEZ, CA\|SAN RAMON, CA\|KENTFIELD, CA\|BERKELEY, CA\|SAN RAFAEL, CA\|PETALUMA, CA\|Glendale, CA	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Jan 31, 2002	Dec 3, 2004	no	SAN FRANCISCO, 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
PRINCIPAL SECURITIES, INC.	CETERA INVESTMENT ADVISERS LLC	Jan 24, 2024	Jan 16, 2024	-8	Firm change	Ibd to ibd
U.S. BANCORP ADVISORS, LLC	PRINCIPAL SECURITIES, INC.	Jan 21, 2016	Mar 14, 2016	53	Firm change	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	U.S. BANCORP ADVISORS, LLC	Dec 3, 2004	Dec 14, 2004	11	Firm change	Other

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Jan 16, 2024 to presentfactForm ADV
→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: previous registration
Mar 14, 2016 to Jan 24, 2024factForm ADV
→ U.S. BANCORP ADVISORS, LLCRegistered adviserregistration: previous registration
Dec 14, 2004 to Jan 21, 2016factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Jan 31, 2002 to Dec 3, 2004factForm ADV

Dated events

Occurred
Jan 24, 2024
Advisor changed firm
Betty Won Lee left Principal Securities, Inc. for Cetera Investment Advisers Llc (registered 2024-01-16)
Form ADVobserved 6 days ago