Stephen Lee, financial advisor Newport Beach CA
96 score

Stephen Lee

CRD Number: 4477779
Current Firm: Advice And Planning Services

Stephen Lee (CRD# 4477779) is an Investment Advisor Representative working at Advice And Planning Services in Newport Beach, CA and has over 14 years of experience in the finance industry. Stephen Lee has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Tiaa Newport Beach, CA Sep 2012 - Current 4
Tiaa-cref Individual & Institutional Services, LLC Newport Beach, CA Sep 2012 - Current 4
Highmark Capital Management Irvine, CA Feb 2010 - Jul 2012 2
Unionbanc Investment Services Newport Beach, CA Feb 2008 - Feb 2010 2
Wachovia Bank, N.a. Los Angeles, CA Sep 2006 - Jan 2008 1
Wachovia Securities, LLC Los Angeles, CA Sep 2006 - Jan 2008 1
Wells Fargo Investments, LLC Cosa Mesa, CA Jun 2005 - Sep 2006 1
Wells Fargo Bank Irvine, CA Oct 2004 - Sep 2006 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 2002
S66 NASAA Uniform Combined State Law Examination Jan 2013
Contact Info for Stephen I. Lee
Phone Number: 212-490-9000
Firm Website: http://www.tiaa.org
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    16,792
    MILLIONS
  • Total Number of Accounts
    45,960
    ACCOUNTS
  • Average Account Value
    $365,356
Compensation Options
  • A percentage of assets under your management
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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