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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

STEPHEN JUNG LEE

Advisor at LPL FINANCIAL LLC

SACRAMENTO, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Sep 9, 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: Sep 5, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Sep 5, 1998
First registration: Sep 9, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 3078914

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	Jul 21, 2021	n/a	yes	SACRAMENTO, CA	Current employment
WADDELL & REED	Former SEC adviser	Sep 21, 2015	Jul 28, 2021	no	SAN MATEO, CA\|CONCORD, CA\|SEATTLE, WA\|San Mateo, CA\|OVERLAND PARK, KS	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Jul 7, 2015	no	SAN MATEO, CA\|SAN MATEO, CA\|FOSTER CITY, CA\|SAN MATEO, CA\|BURLINGAME, CA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	May 2, 2009	Oct 1, 2012	no	BUFFALO GROVE, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|ROLLING MEADOWS, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|PALATINE, IL\|CHICAGO, IL\|CHICAGO, IL\|DEERFIELD, IL\|NILES, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|SAN MATEO, CA\|DALY CITY, CA\|SAN MATEO, CA	Previous registration
WAMU INVESTMENTS, INC.	n/a	Jan 25, 2005	May 2, 2009	no	SKOKIE, IL\|EVANSTON, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|FOX LAKE, IL\|ROUND LAKE BEACH, IL\|CRYSTAL LAKE, IL\|LAKE BLUFF, IL\|HOMER GLEN, IL\|NAPERVILLE, IL\|SAINT CHARLES, IL\|BATAVIA, IL\|OAK FOREST, IL\|NAPERVILLE, IL\|FRANKFORT, IL\|NAPERVILLE, IL\|PLAINFIELD, IL\|DOWNERS GROVE, IL\|TINLEY PARK, IL\|OSWEBO, IL\|RIVER FOREST, IL\|CHICAGO, IL\|OAKBROOK TERRACE, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|HAZEL CREST, IL\|CHICAGO, IL\|HOMEWOOD, IL\|BURBANK, IL\|FOREST PARK, IL\|ELMHURST, IL\|CHICAGO, IL\|CHICAGO, IL\|MUNDELEIN, IL\|EAST DUNDEE, IL\|WAUKEGAN, IL\|LAKE ZURICH, IL\|ZION, IL\|CHICAGO, IL\|ALSIP, IL\|CALUMET PARK, IL\|CHICAGO, IL\|BROADVIEW, IL\|CARPENTERNSVILLE, IL\|WAUCONDA, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|SOUTH HOLLAND, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|WHEATON, IL\|ARLINGTON HEIGHTS, IL\|ELK GROVE VILLAGE, IL\|GLENDALE HEIGHTS, IL\|HICKORY HILLS, IL\|AURORA, IL\|OAK LAWN, IL\|CHICAGO, IL\|SOUTH CHICAGO HEIGHTS, IL\|CHICAGO, IL\|OAK LAWN, IL\|CHICAGO, IL\|CHICAGO, IL\|BUFFALO GROVE, IL\|PALATINE, IL\|ROLLING MEADOWS, IL\|GLEN ELLYN, IL\|WHEATON, IL\|GLEN ELLYN, IL\|NAPERVILLE, IL\|YORKVILLE, IL\|AURORA, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|WHEATON, IL\|LOMBARD, IL\|ARLINGTON HEIGHTS, IL\|CREST HILL, IL\|CHICAGO, IL\|WESTERN SPRINGS, IL\|CHICAGO, IL\|BUFFALO GROVE, IL\|DEERFIELD, IL\|WOODSTOCK, IL\|LINCOLNSHIRE, IL\|WAUKEGAN, IL\|NORTHBROOK, IL\|JOLIET, IL\|DOWNERS GROVE, IL\|BOLINGBROOK, IL\|MCHENRY, IL\|ADDISON, IL\|BARTLETT, IL\|GENEVA, IL\|SOUTH ELGIN, IL\|ROMEOVILLE, IL\|ORLAND PARK, IL\|NAPERVILLE, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|BOLINGBROOK, IL\|CHICAGO, IL\|CHICAGO, IL\|LANSING, IL\|OLYMPIA FIELDS, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|WESTCHESTER, IL\|ELMHURST, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|FOX RIVER GROVE, IL\|ALGONQUIN, IL\|LIBERTYVILLE, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|ROLLING MEADOWS, IL\|CHICAGO, IL\|BUFFALO GROVE, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|DEERFIELD, IL\|PALATINE, IL\|NEW YORK, NY\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|NILES, IL\|CHICAGO, IL\|ARLINGTON HEIGHTS, IL\|ORLAND PARK, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|SKOKIE, IL\|CHICAGO, IL\|GLENVIEW, IL\|CHICAGO, IL\|CHICAGO, IL\|DOWNERS GROVE, IL\|CHICAGO, IL\|SKOKIE, IL\|CHICAGO, IL\|DES PLAINES, IL\|EVANSTON, IL\|HANOVER PARK, IL\|MORTON GROVE, IL\|MT. PROSPECT, IL\|MT. PROSPECT, IL\|NILES, IL\|SCHAUMBURG, IL\|NORRIDGE, IL\|SCHAUMBURG, IL\|PARK RIDGE, IL\|SKOKIE, IL\|CHICAGO, IL\|HOFFMAN ESTATES, IL\|HOFFMAN ESTATES, IL\|GLENVIEW, IL\|DEERFIELD, IL	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Sep 9, 2002	Jun 9, 2003	no	NORTHBROOK, IL	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
WADDELL & REED	LPL FINANCIAL LLC	Jul 28, 2021	Jul 21, 2021	-7	Bulk transfer	Ibd to ibd
J.P. MORGAN SECURITIES LLC	WADDELL & REED	Jul 7, 2015	Sep 21, 2015	76	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
WAMU INVESTMENTS, INC.	CHASE INVESTMENT SERVICES CORP.	May 2, 2009	May 2, 2009	0	Bulk transfer	Other
EQUITABLE ADVISORS, LLC	WAMU INVESTMENTS, INC.	Jun 9, 2003	Jan 25, 2005	596	Firm change after gap	Other

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jul 21, 2021 to presentfactForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
Sep 21, 2015 to Jul 28, 2021factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Jul 7, 2015factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
May 2, 2009 to Oct 1, 2012factForm ADV
→ WAMU INVESTMENTS, INC.Registered adviserregistration: previous registration
Jan 25, 2005 to May 2, 2009factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Sep 9, 2002 to Jun 9, 2003factForm ADV

Dated events

No dated event names this entity yet.