Charles Davis Lee
Investment Adviser Representative at THE Sterling Group
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Charles Davis Lee is an investment adviser representative with The Sterling Group in Pasadena, CA, where they have been registered since 2026. They have worked in the securities industry since 2023 and have been registered with 3 firms, including LPL Financial LLC and Osaic FA, Inc. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in California.
Office
Advisors at this office: 4
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- California
- Broker:
1 state or territory
California
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Odyssey Wealth DesignJun 2022 – Oct 2024Irvine, CA
- Jamba JuiceMar 2022 – May 2022Thousand Oaks, CA
- California Lutheran UniversityMar 2021 – Mar 2022Thousand Oaks, CA
- Newport Wealth StrategiesMay 2021 – Aug 2021Irvine, CA
- Door Dash/PostmatesJan 2021 – May 2021Thousand Oaks, CA
- VectorSep 2020 – Oct 2020Irvine, CA
- ChapmanMay 2019 – Aug 2019Orange, CA
- UnemployedApr 2013 – May 2019Tustin, CA
- UnemployedOct 2020 – Jan 2021Tustin, CA
- UnemployedMay 2022 – Jun 2022Thousand Oaks, CA
- UnemployedAug 2019 – Sep 2020Thousand Oaks, CA
- LPL FinancialOct 2024 – no end date reportedPasadena, CA
- The Sterling GroupOct 2024 – no end date reportedPasadena, CA
Official records & sources
Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About THE Sterling Group
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Firm account minimum
- $1,000,000 (waivable)
- First tier1.25%
- Second tier0.95%
- Third tier0.80%
- Fourth tier0.65%
+2 more tiers on the firm profile
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
The Sterling Group offers a full range of services including financial planning, investment management, tax planning, estate planning, and protection planning. Fee-based financial planning is at the core of their effort, and they assist clients in formulating and implementing complex wealth management strategies.
Client types the firm serves
Firm assets under management
$100M–$500M
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 4
- Offices listed on AdvisorFinder:
- 1
- Main office:
- Pasadena, CA
- SEC file number:
- 801-77006
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of March 30, 2026
View full firm profileOther advisors at THE Sterling Group
3 other advisors in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Charles Davis Lee has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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