Charles Lee has been an investment adviser representative at Sterling Group Wealth Management since February 2026, and is not listed among the firm’s executive officers or direct owners.
Sterling Group Wealth Management, LLC is a Pasadena, CA firm with $471M under management, 281 clients and 5 advisers in one office, as of its March 2026 filing.
Charles Lee’s longest registration was 1 year at Osaic Fa, Inc. (2023–2024). Before joining Sterling Group Wealth Management in 2026, Charles Lee was registered through LPL Financial LLC and Osaic Fa, Inc.
- The Sterling GroupCurrent– present · under a yearPasadena, CA · Adviser representative · Firm CRD 111782
- LPL Financial LLC– · under a yearFort Mill, SC · Adviser representative · Firm CRD 6413
- Osaic Fa, Inc.– · 1 yearIrvine, CA · Adviser representative · Firm CRD 3978
Investment adviser representative registrations
Charles Lee is registered as an investment adviser representative in California, since February 2026.
- CaliforniaSince 20 February 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 25 September 2023 |
| Series 7TO | General Securities Representative Examination | 17 May 2023 |
| SIE | Securities Industry Essentials Examination | 2 December 2022 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Full name
- Charles Davis Lee
- CRD
- 7561109
- Firm
- Sterling Group Wealth Management · CRD 111782
- Office
- 225 S. LAKE AVENUE, SUITE 1075, Pasadena, CA 91101
- Registration
- Investment adviser and broker registrations
- In the industry since
- May 2023
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Charles Lee work?
Charles Lee is an investment adviser representative registered through Sterling Group Wealth Management, LLC since February 2026, and is not listed among the firm’s executive officers or direct owners.
Is Charles Lee a financial advisor?
Yes. Charles Lee has a current investment-adviser registration in California, through Sterling Group Wealth Management since February 2026.
How many years of experience does Charles Lee have?
Charles Lee has 3 years in the financial industry, since May 2023, across 3 adviser firms.
What exams has Charles Lee passed?
Charles Lee has passed 3 licensing exams: the SIE, Series 7TO and Series 66. The earliest, the SIE, was passed in December 2022.
Where did Charles Lee work before Sterling Group Wealth Management?
Before Sterling Group Wealth Management, Charles Lee was registered through LPL Financial LLC, October 2024 to October 2024; Osaic Fa, Inc., September 2023 to October 2024.
Where is Charles Lee based?
Charles Lee’s registered office is in Pasadena, CA.
Is Charles Lee registered with FINRA?
Yes. Charles Lee has a current broker registration, under CRD 7561109.
Source: FINRA BrokerCheck
How can I verify Charles Lee’s record?
Search CRD 7561109 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Charles Lee’s full registration record.
