Winnie Lee

Winnie Lee has been Assistant Secretary of Cetera Investment Advisers since May 2022. Winnie Lee is not listed as a control person, but directly owns under 5% of the firm. Winnie Lee attended Brooklyn Law School; bachelor’s degree, University at Buffalo.

Cetera Investment Advisers LLC is a Schaumburg, IL firm with $257B under management, 813,961 clients and 9,049 advisers across 6,585 offices, as of its August 2026 filing.

Cetera’s 2024 release says Winnie Lee is deputy general counsel leading M&A efforts and special projects and overseeing transactional attorneys. She joined Cetera’s legal department in 2021 after serving as deputy general counsel at Fir Tree Partners.

The IAPD individual lookup on 18 October 2026 returned no individual record. This profile uses the firm’s Form ADV officer listing.

Individual registration and examination information for Winnie Lee is unavailable. An officer title or CRD number does not by itself establish current investment adviser representative registration, and no registration or examination counts are inferred.

Officer record

Full name

Winnie Lee

CRD

7381661

Record basis

Form ADV officer listing

Firm bio

cetera.com

Disciplinary history is not reported here, in either direction. Check the SEC record.

• SBSerge BudevichVice President, Tax Officer
• MFMatthew FriesVice President
• WHWilliam HolloranVice President
• RKRonald KruegerVice President
• MMMichael MolnarVice President
• JNJoseph NearyVP, Manager, CEO and President
• ENErik NilandVice President
• LRLeann RummelVice President
• SSStanley SmileyVice President
• AWAndrew WattsVice President
• JBJeffrey BuchheisterChief Financial Officer, Manager
• KHKristy HaleyChief Compliance Officer, Advisory
• LGLisa GokSecretary
• SKScott KirwinAssistant Secretary
• TMTodd MackayManager
• MMMaura MizuguchiChief Accounting Officer
• EOEdward OBrienManager
• DVDavid Van HavermaatAsst. Secretary
• TVTamas VaysSecretary