Luke Jungwook Lee

CRD 1666609 · Charles Schwab & Co., Inc. · San Ramon, CA

IA RegisteredBroker

Also appears in the source record as: Jung L Lee; Jung Wook Lee; Luke J Lee; Luke Jung Wook Lee; Luke W Lee; Luke Wook Lee

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): SIESeries 7Series 6Series 26Series 8Series 65Series 63
Registered states (23): Arizona · California · Colorado · Connecticut · Florida · Illinois · Iowa · Kansas · Kentucky · Maryland · Massachusetts · Michigan · Nevada · New Mexico · New York · Ohio · Oregon · South Carolina · Tennessee · Texas · Utah · Virginia · Washington
Years in the industry (source record): 29
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Charles Schwab & Co., Inc.
Firm CRD: 5393
SEC number: 801-29938
Assets under management: Not yet retrieved from the source record
Website: www.linkedin.com/COMPANY/SCHWAB-ADVISOR-SERVICES ↗
Phone: 415-667-7000
Firm location: San Francisco, CA, 94105

Employment history (10)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
San Ramon, CA · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
San Ramon, CA · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
San Ramon, CA · IA capacity

start not retrieved → present
Td Ameritrade, Inc.
San Ramon, CA · BC capacity

Apr 15, 2016 → May 19, 2024
Td Ameritrade Investment Management, LLC
San Ramon, CA · IA capacity

Apr 25, 2016 → Sep 7, 2023
Td Ameritrade, Inc.
San Ramon, CA · IA capacity

Apr 25, 2016 → Oct 14, 2022
Citigroup Global Markets Inc.
Piedmont, CA · BC capacity

Mar 10, 2015 → Apr 19, 2016
J.P. Morgan Securities LLC
Oakland, CA · BC capacity

Sep 26, 2014 → Mar 4, 2015
Banc Of America Investment Services, Inc.
San Francisco, CA · BC capacity

Dec 12, 2007 → Feb 24, 2009
Pnc Investments
West Paterson, NJ · BC capacity

Mar 6, 2006 → Nov 15, 2007

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 1666609 ↗ FINRA BrokerCheck record for CRD 1666609 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.