Thomas Hing Yuk Mang

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2004-05-13

CA RA
APPROVED

Since 2004-05-13

Branch Locations

San Diego, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Cetera Financial Specialists Llc	Schaumburg	IL	01/2001	Present
Cetera Investment Advisers Llc	Schaumburg	IL	05/2004	Present
Thomas Mang Financial	San Diego	CA	11/2012	Present

01/2001 → Present

Cetera Financial Specialists Llc

Schaumburg, IL
05/2004 → Present

Cetera Investment Advisers Llc

Schaumburg, IL
11/2012 → Present

Thomas Mang Financial

San Diego, CA

Other Businesses

1) NAME OF OTHER BUSINESS: THOMAS H MANG FINANCIAL ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL SERVICES ; START DATE: 11/2012 ; POSITION/TITLE/RELATIONSHIP: OWNER / IAR ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES TO CLIENTS ; 2) . NAME OF OTHER BUSINESS: THOMAS MANG FINANCIAL SERVICES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 10/2022, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 20, APX NUMBER OF HOURS DURING TRADING HOURS: 20, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2004-02-28
S63	Uniform Securities Agent State Law Examination	2001-01-26

S65 Uniform Investment Adviser Law Examination

2004-02-28
S63 Uniform Securities Agent State Law Examination

2001-01-26