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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

LEE VANN ERBY

Advisor at SVB WEALTH

Pasadena, CA | Sam Francisco, CA | San Francisco, CA

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Jul 20, 2007 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: SVB WEALTH
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 19, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 2
Registered states: 1
Exams: S66
First exam: Jul 19, 2007
First registration: Jul 20, 2007
Dual registered: yes, broker-dealer
Other names: LEE ERBY|LEE VANN ERBY|LEE VANN ERBY|LEE VANN ERBY
IAPD individual key: 5291267

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
SVB WEALTH	Independent wealth	Apr 21, 2026	n/a	yes	Sam Francisco, CA	Current employment
FIRST CITIZENS INVESTOR SERVICES, INC.	Bd affiliated wealth	Nov 18, 2025	n/a	yes	San Francisco, CA\|Pasadena, CA	Current employment
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Jun 20, 2024	Oct 7, 2025	no	Napa, CA\|San Francisco, CA\|Los Angeles, CA\|San Francisco, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Sep 6, 2022	Apr 10, 2024	no	SAN FRANCISCO, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Aug 20, 2010	Jul 26, 2022	no	ALBANY, CA\|SACRAMENTO, CA\|ALBANY, CA\|NAPA, CA\|SAN FRANCISCO, CA\|SACRAMENTO, CA\|SACRAMENTO, CA\|LIVERMORE, CA\|PALO ALTO, CA\|ATLANTA, GA\|PALO ALTO, CA\|CHARLOTTE, NC\|SAN FRANCISCO, CA\|WALNUT CREEK, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	May 11, 2009	Dec 2, 2009	no	NAPA, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 20, 2007	May 12, 2009	no	NAPA, CA\|MILL VALLEY, 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.	FIRST CITIZENS INVESTOR SERVICES, INC.	Oct 7, 2025	Nov 18, 2025	42	Firm change	Ibd to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CITIGROUP GLOBAL MARKETS INC.	Jul 26, 2022	Sep 6, 2022	42	Firm change	Wirehouse to ibd
WELLS FARGO ADVISORS	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Dec 2, 2009	Aug 20, 2010	261	Firm change	Wirehouse to wirehouse
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WELLS FARGO ADVISORS	May 12, 2009	May 11, 2009	-1	Firm change	Wirehouse to wirehouse

Team moves

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

Team	Left	Joined	From	Kind
7691:7059:CA:2022-07-21	Jul 26, 2022	Sep 6, 2022	SAN FRANCISCO, CA	Firm change

Relationships

Registered with (5)

→ SVB WEALTHRegistered adviserregistration: current employment
Apr 21, 2026 to presentfactForm ADV
→ FIRST CITIZENS INVESTOR SERVICES, INC.Registered adviserregistration: current employment
Nov 18, 2025 to presentfactForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Jun 20, 2024 to Oct 7, 2025factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Aug 20, 2010 to Jul 26, 2022factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
May 11, 2009 to Dec 2, 2009factForm ADV

Dated events

Occurred
Oct 7, 2025
Advisor changed firm
Lee Vann Erby left Citigroup Global Markets Inc. for First Citizens Investor Services, Inc. (registered 2025-11-18)
Form ADVobserved 6 days ago
Occurred
Jul 26, 2022
Advisor changed firm
Lee Vann Erby left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Citigroup Global Markets Inc. (registered 2022-09-06)
Form ADVobserved 6 days ago