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Steven Si ching Lee

NI Advisors

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About Steven Si ching Lee

Steven Lee is a financial advisor with over 27 years of experience in the financial services industry. Steven is currently registered with Ni Advisors and holds a Series 6, Series 63, and SIE license. Steven has previously worked with ING Financial Partners, Inc., Woodbury Financial Services, Inc., and Washington Square Securities, Inc. Steven provides financial planning, portfolio management for individuals, and selection of other advisors to clients in California, Massachusetts, New Jersey, New York, Texas, Utah, and Washington.

Firm Information

Steven Lee is currently registered with NI Advisors. NI Advisors is a registered investment advisor headquartered in California with a focus on financial planning, portfolio management for individuals, and selection of other advisors. They have been operating since 2005 and serve high-net-worth individuals and other individuals. They manage approximately $3.6 million in assets across 7 accounts.

$3.56M

Assets Under Management

Not reported

Total Clients

32

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Share fees with third party asset managers

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Steven Lee’s Registration & Firm History

CA

11/11/2011 - Present

NI Advisors (HACIENDA HEIGHTS CA)

CA

03/19/2004 - 11/02/2011

ING FINANCIAL PARTNERS, INC. (HACIENDA HTS. CA)

MN

08/01/2003 - 03/03/2004

WOODBURY FINANCIAL SERVICES, INC. (OAKDALE MN)

CT

10/12/2001 - 12/31/2002

WASHINGTON SQUARE SECURITIES, INC. (WINDSOR CT)

MN

07/18/2000 - 10/15/2001

WOODBURY FINANCIAL SERVICES, INC. (OAKDALE MN)

CT

05/01/1997 - 07/14/2000

WASHINGTON SQUARE SECURITIES, INC. (WINDSOR CT)

NY

03/23/1995 - 03/14/1997

MONY SECURITIES CORP. (NEW YORK NY)

NJ

03/28/1994 - 02/11/1995

PRUCO SECURITIES CORPORATION (NEWARK NJ)

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Licenses & Designations

BC

Issued 04/19/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/24/1994

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Steven Si ching Lee.
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