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Lilly Tung

Cetera Investment Advisers LLC

Pasadena, CA

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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
CA RA APPROVED 2022-02-02
  • CA RA
    APPROVED
    Since 2022-02-02

Branch Locations

135 N Los Robles Ave, Pasadena, CA 91101 • 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
East West Bank Rowland Heights CA 06/2016 02/2017
Cetera Investments Services Llc St Cloud MN 09/2016 02/2017
Cetera Investment Advisers Llc Rowland Heights CA 09/2016 02/2017
Hsbc Bank Usa National Association Walnut CA 02/2017 01/2022
Hsbc Securities Usa Inc. Walnut CA 03/2017 01/2022
East West Bank Pasadena CA 01/2022 Present
Cetera Investment Services Llc St Cloud MN 02/2022 Present
Cetera Investment Advisers Llc Pasadena CA 02/2022 Present
  • 06/2016 → 02/2017
    East West Bank
    Rowland Heights, CA
  • 09/2016 → 02/2017
    Cetera Investments Services Llc
    St Cloud, MN
  • 09/2016 → 02/2017
    Cetera Investment Advisers Llc
    Rowland Heights, CA
  • 02/2017 → 01/2022
    Hsbc Bank Usa National Association
    Walnut, CA
  • 03/2017 → 01/2022
    Hsbc Securities Usa Inc.
    Walnut, CA
  • 01/2022 → Present
    East West Bank
    Pasadena, CA
  • 02/2022 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 02/2022 → Present
    Cetera Investment Advisers Llc
    Pasadena, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-12-18
S63 Uniform Securities Agent State Law Examination 2002-11-22
  • S66 Uniform Combined State Law Examination
    2012-12-18
  • S63 Uniform Securities Agent State Law Examination
    2002-11-22
Other Names
  • Lilly L Tung

View on SEC IAPD

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CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PASADENA, CA
STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA
MML INVESTORS SERVICES, LLC · Pasadena, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PASADENA, CA
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