Lee is Managing Principal, Director of Compliance, and co-founder of Laurel Wealth Advisors, Inc. (“LWA”), his primary focus is to help financial advisors deliver the best possible experience to their clients and community.
Prior to founding LWA in 2011, Lee was Senior Vice President, Executive Director, and Complex Manager for UBS in La Jolla, California. At UBS, Lee was responsible for a turnaround that raised the profile of the firm significantly for both clients and advisors. As a result, his region achieved the highest performance rankings among UBS peers, while revenues more than tripled under Lee’s leadership. In his 25 years of senior-level management at UBS and Smith Barney, Lee is most proud of creating a collaborative culture that aligns advisors, support staff, and management to truly represent clients.
Lee is a graduate of California Polytechnic University, San Luis Obispo, and is a frequent guest speaker at Cal Poly Alumni Association events. A resident of La Jolla, Lee and his two children, Maleia and Marco, volunteer their weekends to help preserve our beaches and its activities, including oil spill clean-ups and working at surfing events for participants with disabilities. Lee enjoys surfing, biking, walking, and snowboarding, as well as coaching an Under-14 youth rugby team in his spare time