Best Investors Account Sign in

Shu-Yuan Lai

Cetera Investment Advisers LLC

El Monte, CA

Claim This Profile
Current Employers
Cetera Investment Advisers Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APP_PEND_IARCE 2026-01-01
  • CA RA
    APP_PEND_IARCE
    Since 2026-01-01

Branch Locations

9650 Flair Dr, El Monte, CA 91731 • 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
OrganizationCityStateFromTo
Cathay Bank El Monte CA 09/1991 Present
Cetera Investment Services Llc St. Cloud MN 10/2006 02/2017
Cetera Investment Advisers Llc El Monte CA 01/2014 02/2017
Lpl Financial, Llc El Monte CA 02/2017 09/2017
Cetera Investment Services Llc St Cloud MN 09/2017 Present
Cetera Investment Advisers Llc El Monte CA 09/2017 Present
Previous Registrations
  • 2017-03-01 → 2017-09-25
    Lpl Financial Llc
    El Monte, CA
    San Diego, CA
    El Monte, CA
  • 2014-01-21 → 2017-02-28
    Cetera Investment Advisers Llc
    El Monte, CA
  • 2006-10-05 → 2014-01-21
    Cetera Investment Services Llc
    Los Angeles, CA
    Oakland, CA
    Milpitas, CA
    Houston, TX
  • 2004-11-29 → 2006-10-06
    Uvest Financial Services Group, Inc.
    Los Angeles, CA
    Los Angeles, CA
  • 2003-01-07 → 2004-02-17
    Cetera Investment Services Llc
    Los Angeles, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-11-04
  • S66 Uniform Combined State Law Examination
    2002-11-04
Other Names
  • Sue Lai

View on SEC IAPD

Other Firms

PACKERLAND BROKERAGE SERVICES, INC.
TREVERI CAPITAL
EAGLE STRATEGIES LLC
LPL FINANCIAL LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
INFINITY FINANCIAL SERVICES ADVISORY
STATE FARM INVESTMENT MANAGEMENT CORP.
J.P. MORGAN SECURITIES LLC

Other Investors

Peter Chow
MARCUS GUNAWAN
JEFFREY L MARTINEZ
TOAN V THAI
Tony Tat Yan Lam
BINH THUY TRAN
Hung Chih Chen
YU CHEN

Other Offices

PACKERLAND BROKERAGE SERVICES, INC. · Rosemead, CA
TREVERI CAPITAL · ROSEMEAD, CA
EAGLE STRATEGIES LLC · ROSEMEAD, CA
LPL FINANCIAL LLC · ROSEMEAD, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · ROSEMEAD, CA
INFINITY FINANCIAL SERVICES ADVISORY · South El Monte, CA
CETERA INVESTMENT ADVISERS LLC · ROSEMEAD, CA
CETERA INVESTMENT ADVISERS LLC · SAN GABRIEL, CA

More in El Monte, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor