Stephanie Lee has been Managing Member, Chief Compliance Officer of East Rock Financial Services since September 2008, is a control person of the firm and directly owns 75% or more of it. Stephanie Lee holds a BS in Applied Mathematics from Yale University. Stephanie Lee studied MPA at the University of Southern California.
East Rock Financial Services, LLC is a firm with $136M under management, 39 clients and 2 advisers in one office, as of its March 2026 filing.
Stephanie J. Lee founded East Rock Financial Services. Before founding the firm, she spent 10 years as a Director with a major financial analytics firm, where she was both a software engineer and product manager. She taught bankers and insurers in North America, Europe, Asia, and Africa about the latest innovations in portfolio management. She has served in her community as a City Council member and as a Parks & Recreation Commissioner.
- – present · 17 yearsBurlingame, CA · Adviser representative · Firm CRD 147949
Professional designations
Listed by East Rock Financial Services
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
Stephanie Lee is registered as an investment adviser representative in California, since November 2008.
- CaliforniaSince 20 November 2008
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 28 June 2008 |
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Stephanie Jeanne Lee
- CRD
- 5580394
- Firm
- East Rock Financial Services · CRD 147949
- Role
- Managing Member, Chief Compliance Officer
- Office
- Burlingame, CA
- Registration
- Investment adviser registration
- In the industry since
- November 2008
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- eastrockfinancial.com
Where does Stephanie Lee work?
Stephanie Lee has been Managing Member, Chief Compliance Officer of East Rock Financial Services, LLC since September 2008, and is a control person of the firm.
Is Stephanie Lee a financial advisor?
Yes. Stephanie Lee has a current investment-adviser registration in California, through East Rock Financial Services since November 2008.
How many years of experience does Stephanie Lee have?
Stephanie Lee has 17 years in the financial industry, since November 2008, across 1 adviser firm.
What exams has Stephanie Lee passed?
Stephanie Lee passed the Series 65 in June 2008.
Where is Stephanie Lee based?
Stephanie Lee’s registered office is in Burlingame, CA.
Is Stephanie Lee registered with FINRA?
No. Stephanie Lee has no current broker registration.
Is Stephanie Lee a CFP?
East Rock Financial Services lists Stephanie Lee with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
Source: Stephanie J. Lee, CFP® biography, eastrockfinancial.com
How can I verify Stephanie Lee’s record?
Search CRD 5580394 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Stephanie Lee’s full registration record.