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Current Employers
Cetera Investment Advisers Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-01-12
CA RA APPROVED 2017-10-02
  • TX RA
    APPROVED_RES
    Since 2023-01-12
  • CA RA
    APPROVED
    Since 2017-10-02

Branch Locations

17432 Colima Rd, Rowland Heights, CA 91748 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Massmutual Life Insurance Company Diamond Bar CA 04/2016 09/2016
Mml Investors Services, Llc Diamond Bar CA 06/2016 09/2016
Oneamerica Securities Diamond Bar CA 10/2016 09/2017
American United Life Diamond Bar CA 08/2016 09/2017
Cetera Investment Services Llc St Cloud MN 10/2017 Present
Cetera Investment Advisers Llc Rowland Heights CA 10/2017 Present
Cathay Bank Rowland Heights CA 10/2017 Present
  • 04/2016 → 09/2016
    Massmutual Life Insurance Company
    Diamond Bar, CA
  • 06/2016 → 09/2016
    Diamond Bar, CA
  • 10/2016 → 09/2017
    Oneamerica Securities
    Diamond Bar, CA
  • 08/2016 → 09/2017
    American United Life
    Diamond Bar, CA
  • 10/2017 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 10/2017 → Present
    Rowland Heights, CA
  • 10/2017 → Present
    Cathay Bank
    Rowland Heights, CA
Previous Registrations
  • 2016-10-17 → 2017-09-29
    Diamond Bar, CA
    Diamond Bar, CA
    Glendora, CA
  • 2016-06-28 → 2016-09-12
    Diamond Bar, CA
    El Segundo, CA
    Diamond Bar, CA
  • 2013-04-03 → 2016-03-11
    Securities America Advisors, Inc.
    Diamond Bar, CA
  • 2012-02-09 → 2013-04-05
    Pomona, CA
    New York, NY
    Pomona, CA
    Ontario, CA
    Chino Hills, CA
  • 2010-09-08 → 2012-01-23
    Chase Investment Services Corp.
    Hacienda Heights, CA
  • 2009-12-15 → 2010-08-25
    Rowland Heights, CA
    San Gabriel, CA
    City Of Industry, CA
  • 2009-03-03 → 2009-09-10
    Cetera Investment Services Llc
    City Of Industry, CA
    San Gabriel, CA
  • 2007-10-01 → 2008-10-31
    Brea, CA
  • 2007-05-30 → 2007-08-10
    Bancwest Investment Services, Inc.
    Irvine, CA
    San Marino, CA
    Monterey Park, CA
    West Covina, CA
  • 2006-10-17 → 2007-05-23
    Uvest Financial Services Group, Inc.
    Rowland Heights, CA
  • 2005-08-01 → 2006-10-06
    Uvest Financial Services Group, Inc.
    Rowland Heights, CA
    State:, CA
  • 2004-04-21 → 2005-07-19
    Ucb Investment Services, Inc.
    San Francisco, CA
  • 2003-07-03 → 2004-03-08
    Cetera Investment Services Llc
    Los Angeles, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-06-23
  • S66 Uniform Combined State Law Examination
    2003-06-23
Other Names
  • Daphne Lin
  • Daphne Lin

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