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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-06-23 |
Branch Locations
2777 East Guasti Rd Ste 6, Ontario, CA 91761 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Investment Services Llc | St. Cloud | MN | 08/2012 | 02/2017 |
| Cathay Bank | Los Angeles | CA | 08/2012 | 07/2019 |
| Cetera Investment Advisers Llc | Los Angeles | CA | 01/2014 | 02/2017 |
| Lpl Financial Llc | Los Angeles | CA | 02/2017 | 09/2017 |
| Cetera Investment Services Llc | St Cloud | MN | 09/2017 | 01/2020 |
| Cetera Investment Advisers Llc | Los Angeles | CA | 09/2017 | 01/2020 |
| Chun Bai | Ontario | CA | 01/2020 | 12/2021 |
| Ctbc Bank | Arcadia | CA | 08/2019 | 01/2020 |
| Ni Advisors | Milpitas | CA | 12/2021 | 03/2023 |
| Chun Bai | Ontario | CA | 03/2023 | 03/2025 |
| Lpl Financial | Ontario | CA | 03/2025 | 06/2026 |
| Credit Union Of Southern California | Ontario | CA | 06/2026 | Present |
| Lpl Financial | Ontario | CA | 06/2026 | Present |
1. 6/2026 - Prudential Insurance - Non-Variable Insurance - INV REL - 20 Hour(s)/Month – 10 Hour(s) During Trading - Newark NJ 07102 - OBA Start date: 06/15/2026 2. Investment products and services are offered through LPL Financial LLC using the DBA/trade name SoCal Wealth Management - Inv Rel - At Reported Business Location (s) - Start Date : 06/2026
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-06-09 |
| S63 | Uniform Securities Agent State Law Examination | 1997-07-28 |
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