Philip Fu-Pei Chao

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

• 03/2012 → Present
  Fortune Financial
  Patterson, CA
• 09/2014 → 06/2021
  Voya Financial Advisors
  Patterson, CA
• 02/2016 → 09/2022
  Lundbeck
  Deerfield, IL
• 06/2021 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 09/2022 → Present
  Axsome
  New York, NY
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2006-06-15 → 2021-06-09
  Voya Financial Advisors, Inc.
  Tucson, AZ
  Patterson, CA
  San Ramon, CA
  Pleasanton, CA
  Temecula, CA
• 2004-08-27 → 2006-06-12
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Castro Valley, CA
  Oakland, CA
• 2003-04-14 → 2004-08-30
  Morgan Stanley Dw Inc.
  Hayward, CA

Other Businesses

1) NAME OF ENTITY: Fortune Financial; Yes; 1459 PHLOX DR; PATTERSON; CA; 95363; FINANCIAL SERVICES/DBA; OWNER; 3/16/2012; 160; 160; SALE AND SERVICE INSURANCE, SECURITIES AND INVESTMENT PRODUCTS| 2) NAME OF ENTITY: Philip Chao - Rental Property; No; 1459 PHLOX DR; PATTERSON; CA; 95363; Rental Property; Husband of Owner; 10/1/2015; 0; 0; None- Wife is sole owner of property and all compensation goes to her.| 3) NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 1459 PHLOX DR; PATTERSON; CA; 95363; fixed insurance sales; independent insurance agent; 3/5/2009; 32; 32; sales of fixed insurance products| 4) NAME OF OTHER BUSINESS: AXSOME; INVESTMENT RELATED: NO; ADDRESS: 22 CORTLANDT ST 16TH FLOOR NEW YORK, NY 10007; NATURE OF BUSINESS: PHARMACEUTICALS; START DATE: 9/2022; POSITION/TITLE/RELATIONSHIP: SALES MANAGER; APX NUMBER OF HOURS PER WEEK: 15-20; APX NUMBER OF HOURS DURING TRADING HOURS: 15-20; BRIEF DESCRIPTION OF DUTIES: SALES AMANAGER, PLAN FOR A SUCCESSFUL LAUNCH OF MEDICATION;

Exams

• S66 Uniform Combined State Law Examination
  2002-10-11

Designations

• Certified Financial Planner