PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 9:54 AM ET

Sponsor Check › Person

WL
No photo found yet (own website and image search run after this page is viewed)

Winnie Lee

Named as an officer, director or promoter on SEC Form D filings · NY · May 16, 2024 → May 24, 2024

3deals (issuers)
$106Mreported sold
399investors
3Form D filings
2024year on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:56 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Winnie Lee is listed as an executive officer on 3 SEC Form D filings by 3 issuers in May 2024: Cetera Advisor Networks LLC /CA (El Segundo, CA — investing — 2024; $62.4M reported sold to 245 investors), Cetera Advisors LLC /CO (Greenwood Village, CO — investing — 2024; $35.3M reported sold to 117 investors) and CETERA FINANCIAL SPECIALISTS LLC (Schaumburg, IL — investing — 2024; $8.35M reported sold to 37 investors).

What this means A repeat sponsor — 3 separate companies raised money with this person listed as executive officer. Across those companies the filings report $106M sold in total.

Listed alongside Barbara Kesterson (3 shared filings), David Van Havermaat (3 shared filings), Gary Chaffin (3 shared filings), Jeffrey Buchheister (3 shared filings), Joseph D. Neary (3 shared filings) and 20 others.

What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Winnie. Each name links to their own page.

All 3 issuers belong to the sponsor group Cetera (4 issuers, $252M reported sold, 2010–2024).

What this means A sponsor group is one team that sets up a new company for each deal. Cetera has 4 companies on file and $252M reported sold in total — the group page shows the whole track record in one place.

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CO, CT, DC, DE, FINRA, FL, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VT, WA, WI, WV, WY) — 16 bankruptcy cases matching the name listed in Key records below.

What this means 16 records came back. Each one is listed below with a link to the original document and a line saying why it matched. A name match is not proof it is the same person or company — read the why line and the document. Being sued or named in a release is an accusation, not a finding.

We compared 3 public filings for Winnie Lee and found 8 differences, 4 worth asking the sponsor about: Regulator action naming a team member: Cetera Advisors, LLC and Cetera Advisor Networks, LLC (Oct 24, 2022); Regulator action naming a team member: Cetera Advisors, LLC and Cetera Advisor Networks LLC (Oct 15, 2019); and more below.

What this means These are differences between the sponsor's own SEC filings — both values, dates and sources are listed in Key records, section 4. Most have ordinary explanations; ask the sponsor.

What the community is saying

Community search for Winnie Lee has not run yet — it is joining a line of 43,118 names; searches run around the clock at the hosts' allowed rate. Searched so far: 641 names.

Community comments are quoted as written by their authors. Sources searched: Bing (site:reddit.com / site:biggerpockets.com) and Reddit's own search, plus DuckDuckGo/Brave/BiggerPockets search when they are answering.

Key records

Five things investors ask first. Items still in human review are counted, not shown.

1. Lawsuits

None found in sources searched — federal courts (CourtListener / RECAP), checked Oct 24, 2026

What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:56 AM ET.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

2. Regulatory actions

None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: 48 regulators (FINRA, NASAA, 37 states) — crawled Oct 24, 2026, 8:48 AM ET

What was searched

SEC enforcement searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — Searched SEC litigation releases and administrative proceedings (1995→ / 2007→) (30,205 records as of Oct 24, 2026, 2:50 AM ET) — nothing matched Winnie Lee..

State securities regulators: Securities regulators searched (64,910 actions): FINRA (38,350 actions, 1995–2026), NASAA (31 actions, 2000–2026; listing starts 1997), AK Division of Banking and Securities (273 actions, 1971–2025), AL Securities Commission (880 actions, 2001–2026), AR Securities Department (1,305 actions, 1998–2026), AZ Corporation Commission Securities Division (411 actions, 2017–2026), CA DFPI (25 actions, 2007–2024; listing starts 2002 — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), CO Division of Securities (731 actions, 2001–2026; older years from the Internet Archive (snapshot of 2026-05-02)), CT Department of Banking Securities Division (940 actions, 2006–2026; older years from the Internet Archive (snapshot of 2026-04-22)), DC DISB Securities Bureau (25 actions, 2012–2026), DE DOJ Investor Protection Unit (257 actions, 1987–2026), FL Office of Financial Regulation (49 actions, 2018–2026), GA Secretary of State Securities Division (65 actions, 2015–2026; listing starts 2012), HI DCCA Securities Enforcement Branch (26 actions, 2012–2026), ID Department of Finance Securities Bureau (663 actions, 1994–2026), IL Secretary of State Securities Department (4,122 actions, 2003–2023), KS Insurance Department Securities Division (58 actions), KY Department of Financial Institutions (342 actions, 2005–2026), LA Office of Financial Institutions Securities Division (13 actions, 2010–2025; listing starts 2008), MA Secretary of the Commonwealth Securities Division (125 actions, 2012–2025; live site blocks automated access — loaded from the Internet Archive snapshot of 2026-02-04), MD Attorney General Securities Division (1,054 actions, 2004–2026), ME Office of Securities (539 actions, 2000–2026), MI LARA Corporations, Securities & Commercial Licensing Bureau (201 actions), MO Secretary of State Securities Division (919 actions, 1998–2026), MS Secretary of State Securities Division (209 actions, 1995–2026), MT Commissioner of Securities and Insurance (597 actions, 2000–2026), NC Secretary of State Securities Division (265 actions, 2004–2024), ND Securities Department (711 actions, 1990–2026; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2026-01-06), NH Bureau of Securities Regulation (402 actions, 2002–2026), NM Regulation and Licensing Department Securities Division (90 actions, 2010–2025), NV Secretary of State Securities Division (118 actions, 2018–2026), NY Attorney General Investor Protection Bureau (44 actions, 2012–2026), OH Division of Securities (327 actions, 1993–2006), OK Department of Securities (2,531 actions, 1998–2026), OR Division of Financial Regulation (589 actions, 1988–2026), PA Department of Banking and Securities (1,448 actions, 2008–2024; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2024-08-09), RI DBR Securities Division (98 actions, 2005–2025), SC Attorney General Securities Division (540 actions, 2006–2026), SD Division of Insurance – Securities Regulation (106 actions, 2017–2026), TN Department of Commerce and Insurance Securities Division (405 actions, 1992–2026), TX State Securities Board (936 actions, 1999–2026), UT Division of Securities (772 actions, 2000–2026; older years from the Internet Archive (snapshot of 2010-05-27)), VT DFR Securities Division (137 actions, 2010–2026), WA DFI (2,039 actions, 2001–2026), WI DFI Division of Securities (1,072 actions, 1998–2026), WV Securities Commission (State Auditor) (64 actions), WY Secretary of State Compliance Division (6 actions, 2016–2024) — last crawled Oct 24, 2026, 8:48 AM ET. No machine-readable public listing today for IA, IN, MN, NE, NJ, VA (see docs/state-regulators.md).

3. Bankruptcies

16 cases: 1 open, 15 closed (disposition not in docket feed)

Winnie Lee Lee open
United States Bankruptcy Court, W.D. Tennessee · No. 22-25280 · Filed Dec 1, 2022
Role of Winnie Lee Lee: Debtor · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same full name (a name found in 20 federal dockets); court in TN (not a filing state)
Herbert A. Lee and Winnie Lee Lee closed
United States Bankruptcy Court, W.D. Tennessee · No. 13-25925 · Filed Jun 5, 2013 · Closed Jan 12, 2014
Role of Winnie Lee Lee: Debtor · Outcome: Case closed 2014-01-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 20 federal dockets); court in TN (not a filing state)
Lou Nyan Lee and Winnie Lee closed
United States Bankruptcy Court, E.D. California · No. 11-28734 · Filed Apr 7, 2011 · Closed Aug 3, 2011
Role of Winnie Lee: Debtor · Outcome: Case closed 2011-08-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 20 federal dockets); court in the person's filing state (CA)
WINNIE LEE closed
United States Bankruptcy Court, D. Nevada · No. 10-13654 · Filed Mar 7, 2010 · Closed Sep 6, 2013
Role of WINNIE LEE: Debtor · Outcome: Case closed 2013-09-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 20 federal dockets); court in NV (not a filing state)
Winnie Lee closed
United States Bankruptcy Court, C.D. California · No. 2:03-bk-13360 · Filed Feb 5, 2003 · Closed Jun 13, 2003
Role of Winnie Lee: Debtor · Outcome: Case closed 2003-06-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 20 federal dockets); court in the person's filing state (CA)
Winnie Lee closed
United States Bankruptcy Court, C.D. California · No. 6:02-bk-29456 · Filed Dec 3, 2002 · Closed Apr 3, 2003
Role of Winnie Lee: Debtor · Outcome: Case closed 2003-04-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 20 federal dockets); court in the person's filing state (CA)
Winnie Lee Lee closed
United States Bankruptcy Court, W.D. Tennessee · No. 01-38101 · Filed Nov 19, 2001 · Closed Jan 22, 2007
Role of Winnie Lee Lee: Debtor · Outcome: Case closed 2007-01-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 20 federal dockets); court in TN (not a filing state)
Winnie Lee closed
United States Bankruptcy Court, S.D. New York · No. 01-13707 · Filed Jun 28, 2001 · Closed Nov 20, 2001
Role of Winnie Lee: Debtor · Outcome: Case closed 2001-11-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 20 federal dockets); court in the person's filing state (NY)
Winnie Lee closed
United States Bankruptcy Court, S.D. New York · No. 01-13715 · Filed Jun 28, 2001 · Closed Jun 29, 2001
Role of Winnie Lee: Debtor · Outcome: Case closed 2001-06-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 20 federal dockets); court in the person's filing state (NY)
Winnie Lee Lee closed
United States Bankruptcy Court, W.D. Tennessee · No. 97-34259 · Filed Sep 30, 1997 · Closed Aug 18, 1999
Role of Winnie Lee Lee: Debtor · Outcome: Case closed 1999-08-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 20 federal dockets); court in TN (not a filing state)
Winnie Lee closed
United States Bankruptcy Court, W.D. Tennessee · No. 96-31668 · Filed Sep 11, 1996 · Closed Dec 13, 1996
Role of Winnie Lee: Debtor · Outcome: Case closed 1996-12-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 20 federal dockets); court in TN (not a filing state)
Winnie Lee closed
United States Bankruptcy Court, W.D. Tennessee · No. 96-23616 · Filed Mar 20, 1996 · Closed Oct 30, 1996
Role of Winnie Lee: Debtor · Outcome: Case closed 1996-10-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 20 federal dockets); court in TN (not a filing state)
Winnie Lee closed
United States Bankruptcy Court, W.D. Tennessee · No. 95-22195 · Filed Mar 1, 1995 · Closed May 3, 1996
Role of Winnie Lee: Debtor · Outcome: Case closed 1996-05-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 20 federal dockets); court in TN (not a filing state)
William A. Lee and Winnie M. Lee closed
United States Bankruptcy Court, W.D. Louisiana · No. 93-51045 · Filed Nov 10, 1993 · Closed Feb 24, 1994
Role of Winnie M. Lee: Debtor · Outcome: Case closed 1994-02-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 20 federal dockets); court in LA (not a filing state)
King-Mac Lee and Winnie E. Lee closed
United States Bankruptcy Court, S.D. Florida. · No. 92-24717 · Filed Oct 28, 1992 · Closed Mar 31, 1993
Role of Winnie E. Lee: Debtor · Outcome: Case closed 1993-03-31 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 20 federal dockets); court in FL (not a filing state)
Frank Lee and Winnie Lee closed
United States Bankruptcy Court, C.D. California · No. 1:91-bk-75263 · Filed May 10, 1991 · Closed Nov 13, 1992
Role of Winnie Lee: Debtor · Outcome: Case closed 1992-11-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 20 federal dockets); court in the person's filing state (CA)
What was searched

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:56 AM ET.

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

4. Differences between public sources

Comparisons cover issuers and sponsor groups — see the issuer pages under Deals

8 differences found between the filings for Winnie Lee — 4 worth asking about (compared 3 filings on Oct 24, 2026)

Worth asking · Oct 24, 2022

Regulator action naming a team member: Cetera Advisors, LLC and Cetera Advisor Networks, LLC (Oct 24, 2022)

An SEC litigation release dated Oct 24, 2022 names Cetera Advisors LLC /CO (related issuer). Our match estimate: 80%. The release is the source; we do not summarize its outcome here.

What this means A regulator filed or announced an action naming this person or company (or someone on the same filings). Read the release; ask the sponsor what it was and how it ended.

Cetera Advisors, LLC and Cetera Advisor Networks, LLC ↗Cetera Advisors LLC /CO — PartnerFacts page ↗
Sources
Worth asking · Oct 15, 2019

Regulator action naming a team member: Cetera Advisors, LLC and Cetera Advisor Networks LLC (Oct 15, 2019)

An SEC litigation release dated Oct 15, 2019 names Cetera Advisors LLC /CO (related issuer). Our match estimate: 80%. The release is the source; we do not summarize its outcome here.

What this means A regulator filed or announced an action naming this person or company (or someone on the same filings). Read the release; ask the sponsor what it was and how it ended.

Cetera Advisors, LLC and Cetera Advisor Networks LLC ↗Cetera Advisors LLC /CO — PartnerFacts page ↗
Sources
Worth asking · Aug 29, 2019

Regulator action naming a team member: Cetera Advisors, LLC (Aug 29, 2019)

An SEC litigation release dated Aug 29, 2019 names Cetera Advisors LLC /CO (related issuer). Our match estimate: 80%. The release is the source; we do not summarize its outcome here.

What this means A regulator filed or announced an action naming this person or company (or someone on the same filings). Read the release; ask the sponsor what it was and how it ended.

Cetera Advisors, LLC ↗Cetera Advisors LLC /CO — PartnerFacts page ↗
Sources
Worth asking · May 10, 1991 – Nov 14, 2017

8 bankruptcy cases name the subject or team members

Bankruptcy case: Lou Nyan Lee and Winnie Lee — filed Apr 7, 2011 · Bankruptcy case: Winnie Lee — filed Feb 5, 2003 · Bankruptcy case: Winnie Lee — filed Dec 3, 2002 · Bankruptcy case: Winnie Lee — filed Jun 28, 2001 · Bankruptcy case: Winnie Lee — filed Jun 28, 2001 · and 3 more

What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.

Docket · United States Bankruptcy Court, E.D. California ↗Docket · United States Bankruptcy Court, C.D. California ↗Docket · United States Bankruptcy Court, C.D. California ↗Docket · United States Bankruptcy Court, S.D. New York ↗
Sources
Note · Jan 1, 2010 – May 24, 2024

No amendment in the last 12 months on an offering that may still be open — Cetera Advisors LLC /CO (latest filing May 24, 2024)

The latest filing for this offering is dated May 24, 2024 (first sale Jan 1, 2010). It reports $35,310,183 sold of an indefinite amount offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Form D/A · May 24, 2024 ↗Cetera Advisors LLC /CO — PartnerFacts page ↗
Sources
Note · Jan 8, 2014 – May 16, 2024

No amendment in the last 12 months on an offering that may still be open — CETERA FINANCIAL SPECIALISTS LLC (latest filing May 16, 2024)

The latest filing for this offering is dated May 16, 2024 (first sale Jan 8, 2014). It reports $8,350,559 sold of an indefinite amount offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Form D/A · May 16, 2024 ↗CETERA FINANCIAL SPECIALISTS LLC — PartnerFacts page ↗
Sources
Note · Jan 1, 2010 – May 16, 2024

No amendment in the last 12 months on an offering that may still be open — Cetera Advisor Networks LLC /CA (latest filing May 16, 2024)

The latest filing for this offering is dated May 16, 2024 (first sale Jan 1, 2010). It reports $62,386,855 sold of an indefinite amount offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Form D/A · May 16, 2024 ↗Cetera Advisor Networks LLC /CA — PartnerFacts page ↗
Sources
Note · Jan 13, 2010 – May 6, 2019

8 address changes between filings

Address moved from Schaumburg, IL to El Segundo, CA — CETERA FINANCIAL SPECIALISTS LLC · Address moved from El Segundo, CA to Schaumburg, IL — CETERA FINANCIAL SPECIALISTS LLC · Address moved from Denver, CO to El Segundo, CA — Cetera Advisors LLC /CO · Address moved from Schaumburg, IL to El Segundo, CA — CETERA FINANCIAL SPECIALISTS LLC · Address moved from El Segundo, CA to Denver, CO — Cetera Advisors LLC /CO · and 3 more

What this means Businesses move. If you were told one city and the forms say another, ask which is current.

Form D/A · May 7, 2018 ↗Form D/A · May 6, 2019 ↗CETERA FINANCIAL SPECIALISTS LLC — PartnerFacts page ↗Form D/A · Apr 27, 2017 ↗
Sources
What is compared

What is compared: every Form D and D/A we hold for this subject, side by side — filing dates vs. first-sale dates (the 15-day rule), amendment timing on open offerings (the yearly-amendment expectation), amounts sold, investor counts, offering amounts and minimums across amendments, industry and size bands, addresses, how each person's name and role is written, paid sellers' CRD numbers, and (for groups) where the member companies were formed and sit. Everything is as filed by the issuer; the SEC does not check it. Differences are common and usually have ordinary explanations — we show both values, the dates, and the source so you can ask. As of Oct 24, 2026.

5. Money to insiders

None reported on 3 offerings — no sales commissions, finder's fees or proceeds to insiders

Per-offering detail
Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
May 24, 2024 D/A
Cetera Advisors LLC /CO
File 021-53475
$0$0$0None listed on this filingEDGAR ↗
May 16, 2024 D/A
Cetera Advisor Networks LLC /CA
File 021-53477
$0$0$0None listed on this filingEDGAR ↗
May 16, 2024 D/A
CETERA FINANCIAL SPECIALISTS LLC
File 021-210494
$0$0$0None listed on this filingEDGAR ↗

Counts come from Form D Items 12–15 on the filings in our index (latest filing per offering; one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.

Counted across every filing this person is listed on (latest filing per offering, per issuer).

Deals 3

Every issuer that named Winnie Lee on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.

CA
Investing · group: Cetera

Cetera Advisors LLC /CO

Greenwood Village, CO · May 24, 2024
  • May 24, 2024 · D/A · $35,310,183 sold of Indefinite · 117 investors · min. No minimum reported · role: Executive Officer EDGAR ↗

Raised $35.3M from 117 investors as of the latest filing. Winnie is listed as executive officer.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Investing / 506(b) (2,521 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

CF
Investing · group: Cetera

CETERA FINANCIAL SPECIALISTS LLC

Schaumburg, IL · May 16, 2024
  • May 16, 2024 · D/A · $8,350,559 sold of Indefinite · 37 investors · min. No minimum reported · role: Executive Officer EDGAR ↗

Raised $8.35M from 37 investors as of the latest filing. Winnie is listed as executive officer.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Investing / 506(b) (2,521 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

CA
Investing · group: Cetera

Cetera Advisor Networks LLC /CA

El Segundo, CA · May 16, 2024
  • May 16, 2024 · D/A · $62,386,855 sold of Indefinite · 245 investors · min. No minimum reported · role: Executive Officer EDGAR ↗

Raised $62.4M from 245 investors as of the latest filing. Winnie is listed as executive officer.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Investing / 506(b) (2,521 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

People around Winnie 25

Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET.

LG
No photo found yet (own website and image search run after this page is viewed)
Person

Lisa Gok

Executive Officer · 3 shared filings (3 issuers) · also on 1 other issuer

Listed on the same filings as Winnie Lee. Their page shows their other deals.

TT
No photo found yet (own website and image search run after this page is viewed)
Person

Thomas B. Taylor

Director, Executive Officer · 3 shared filings (3 issuers)

Listed on the same filings as Winnie Lee. Their page shows their other deals.

JB
No photo found yet (own website and image search run after this page is viewed)
Person

Jeffrey Buchheister

Executive Officer · 3 shared filings (3 issuers) · also on 1 other issuer

Listed on the same filings as Winnie Lee. Their page shows their other deals.

JN
No photo found yet (own website and image search run after this page is viewed)
Person

Joseph D. Neary

Executive Officer, Director · 3 shared filings (3 issuers)

Listed on the same filings as Winnie Lee. Their page shows their other deals.

MM
No photo found yet (own website and image search run after this page is viewed)
Person

Maura R. Mizuguchi

Executive Officer · 3 shared filings (3 issuers)

Listed on the same filings as Winnie Lee. Their page shows their other deals.

GC
No photo found yet (own website and image search run after this page is viewed)
Person

Gary Chaffin

Executive Officer · 3 shared filings (3 issuers)

Listed on the same filings as Winnie Lee. Their page shows their other deals.

SS
No photo found yet (own website and image search run after this page is viewed)
Person

Stanley R. Smiley

Executive Officer · 3 shared filings (3 issuers)

Listed on the same filings as Winnie Lee. Their page shows their other deals.

BK
No photo found yet (own website and image search run after this page is viewed)
Person

Barbara Kesterson

Executive Officer · 3 shared filings (3 issuers)

Listed on the same filings as Winnie Lee. Their page shows their other deals.

DH
No photo found yet (own website and image search run after this page is viewed)
Person

David Van Havermaat

Executive Officer · 3 shared filings (3 issuers)

Listed on the same filings as Winnie Lee. Their page shows their other deals.

TS
No photo found yet (own website and image search run after this page is viewed)
Person

Tim Stinson

Executive Officer · 3 shared filings (3 issuers)

Listed on the same filings as Winnie Lee. Their page shows their other deals.

TH
No photo found yet (own website and image search run after this page is viewed)
Person

Thomas Halloran

Executive Officer, Director · 2 shared filings (2 issuers)

Listed on the same filings as Winnie Lee. Their page shows their other deals.

JR
No photo found yet (own website and image search run after this page is viewed)
Person

Jon Rothenberg

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Winnie Lee. Their page shows their other deals.

KH
No photo found yet (own website and image search run after this page is viewed)
Person

Kristy Haley

Executive Officer · 1 shared filing (1 issuer) · also on 2 other issuers

Listed on the same filings as Winnie Lee. Their page shows their other deals.

TS
No photo found yet (own website and image search run after this page is viewed)
Person

Timothy P. Stone

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Winnie Lee. Their page shows their other deals.

PM
No photo found yet (own website and image search run after this page is viewed)
Person

Patricia McCallop

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Winnie Lee. Their page shows their other deals.

KC
No photo found yet (own website and image search run after this page is viewed)
Person

Kofi Coaxum

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Winnie Lee. Their page shows their other deals.

TG
No photo found yet (own website and image search run after this page is viewed)
Person

Thomas Gooley

Director · 1 shared filing (1 issuer)

Listed on the same filings as Winnie Lee. Their page shows their other deals.

ML
No photo found yet (own website and image search run after this page is viewed)
Person

Melissa Lischin

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Winnie Lee. Their page shows their other deals.

EV
No photo found yet (own website and image search run after this page is viewed)
Person

Elisa Del Valle

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Winnie Lee. Their page shows their other deals.

GM
No photo found yet (own website and image search run after this page is viewed)
Person

Garrett Merrill

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Winnie Lee. Their page shows their other deals.

DU
No photo found yet (own website and image search run after this page is viewed)
Person

Dan Umansky

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Winnie Lee. Their page shows their other deals.

SA
No photo found yet (own website and image search run after this page is viewed)
Person

Summer Arnold

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Winnie Lee. Their page shows their other deals.

NK
No photo found yet (own website and image search run after this page is viewed)
Person

Nichole Kircher

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Winnie Lee. Their page shows their other deals.

RK
No photo found yet (own website and image search run after this page is viewed)
Person

Ronald G. Krueger

Executive Officer, Director · 1 shared filing (1 issuer)

Listed on the same filings as Winnie Lee. Their page shows their other deals.

EB
No photo found yet (own website and image search run after this page is viewed)
Person

Elayne G. Banks

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Winnie Lee. Their page shows their other deals.

The team behind the deals

C
Sponsor group

Cetera

4 issuers · 57 filings · $252M reported sold · 2010–2024

One team, 4 deal companies. Winnie Lee is listed on 3 of them.

Sources

Issuers are grouped when their Form D filings share related persons, a management entity or a business address (automatic match from the filings). "Listed" marks the issuers that name Winnie Lee.

Same business address

42 other issuers file from the same address

A shared address can mean the same team, a shared office building or a registered agent. It is a lead, not a conclusion.

Registrations and other filings

Business registration (state registry / Secretary of State)

Individuals are not matched to business registrations — registries list companies, and a name alone is not enough to tie a person to one. Officers and managers appear by name inside each matched company's record on the issuer pages. Registries searched: AL (Alabama Secretary of State — Business Entity Records (arc-sos.state.al.us), searched by issuer name, data as of Oct 24, 2026); CO (Colorado Secretary of State — Business Entities in Colorado (data.colorado.gov), data as of Oct 23, 2026); CT (Connecticut Secretary of the State — Business Registry (data.ct.gov), data as of Oct 24, 2026); FL (Florida Department of State, Division of Corporations — quarterly corporate data file (Sunbiz), data as of Oct 7, 2026); NY (New York Department of State — Corporations and Other Entities (data.ny.gov: All Filings + Active Corporations), data as of Oct 20, 2026); OR (Oregon Secretary of State — Active Businesses, All (data.oregon.gov), data as of Oct 20, 2026); PA (Pennsylvania Department of State — Registered Businesses, Current (data.pa.gov), data as of Oct 6, 2026); TX (Texas Comptroller — Active Franchise Taxpayers incl. Secretary of State file data (data.texas.gov), data as of Oct 24, 2026). Registries of other states have not been searched: many publish no bulk file and require a CAPTCHA or bot challenge on their search page, which we do not bypass (Delaware, for example, offers no public bulk file).

Adviser registration (Form ADV)

None of the 3 issuers this person is listed on appears in Form ADV (searched 24,962 advisers as of Oct 2, 2026). A person is never an adviser firm; Form ADV is checked for the issuers and the management companies they are listed with.

Other offering types (Regulation A and Regulation Crowdfunding)

Searched SEC Regulation A Data Sets (Forms 1-A, 1-K, 1-Z; 2015 Q2 → 2026 Q3); SEC Crowdfunding Offerings Data Sets (Form C family; 2016 Q2 → 2026 Q3); EDGAR form index for 2026 Q3 → 2026 Q4 (51,358 records as of Oct 23, 2026, 8:41 PM ET) — nothing matched this name.

Property records none — individuals are not matched

Property records are matched to companies only, never to individuals, so none are matched to Winnie Lee by design. Searched property records in Hillsborough County FL (Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026 + FL DOR 2026 ownership roll), Miami-Dade County FL (FL DOR 2026 ownership roll), Harris County TX (HCAD 2026 ownership roll), Dallas County TX (DCAD 2026 ownership roll), New York City ACRIS documents and PLUTO ownership rows already retrieved for other issuers, Cook County IL sale and ownership rows already retrieved for other issuers (814,874 records as of Oct 23, 2026, 8:59 PM ET) for the 3 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Winnie Lee is listed on: none on file. No website or social profile named in Cetera Advisor Networks LLC /CA's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #99,028 of 374,652 in line (1,386 issuers searched so far). One-tap searches: Look further ↓

Look further

One-tap searches on sites we do not index ourselves, with the name pre-filled (El Segundo, CA). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Social and web

LinkedIn people search ↗Instagram ↗X (Twitter) ↗Facebook ↗YouTube ↗Google ↗Google Images ↗Google News ↗Meta Ad Library ↗

Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗New York WebCivil Supreme ↗Cook County Clerk of Court case search ↗California — find the county court ↗Los Angeles Superior Court case search ↗Colorado state courts — find the court ↗

Securities regulators

SEC EDGAR full-text search ↗SEC action look-up ↗FINRA BrokerCheck ↗SEC IAPD adviser search ↗

Business registries

New York Secretary of State business search ↗Illinois Secretary of State business search ↗California Secretary of State business search ↗Colorado Secretary of State business search ↗OpenCorporates ↗

Change history

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