Stephane Win Hpay

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2014 → 06/2021
  Voya Financial Advisors
  San Marcos, CA
• 06/2021 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2012-06-04 → 2021-06-09
  Voya Financial Advisors, Inc.
  La Verne, CA
  San Marcos, CA
• 2006-08-22 → 2012-05-30
  Next Financial Group, Inc.
  Houston, TX
  San Marcos, CA
• 2002-07-19 → 2006-08-30
  Transamerica Financial Advisors, Llc
  San Marcos, CA
  Clearwater, FL
  San Marcos, CA

Other Businesses

NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 1717 LA TIERRA COURT; SAN MARCOS; CA; 92078; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 4/27/2017; 160; 160; SALE OF FIXED INSURANCE PRODUCTS|

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-07-11
• S63 Uniform Securities Agent State Law Examination
  1997-11-03