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Oliver Y Tao

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
TX RA APPROVED_RES 2023-01-12
NY RA APPROVED 2021-03-31
CA RA APPROVED 2014-01-21
  • TX RA
    APPROVED_RES
    Since 2023-01-12
  • NY RA
    APPROVED
    Since 2021-03-31
  • CA RA
    APPROVED
    Since 2014-01-21

Branch Locations

135 N Los Robles Avenue 2Nd Floor, 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 Pasadena CA 05/2013 Present
Cetera Investment Services Llc St. Cloud MN 06/2013 Present
Cetera Investment Advisers Llc Pasadena CA 01/2014 Present
  • 05/2013 → Present
    East West Bank
    Pasadena, CA
  • 06/2013 → Present
    Cetera Investment Services Llc
    St. Cloud, MN
  • 01/2014 → Present
    Cetera Investment Advisers Llc
    Pasadena, CA
Previous Registrations
  • 2012-11-09 → 2013-05-31
    Cetera Investment Services Llc
    El Monte, CA
  • 2011-03-03 → 2012-11-16
    Cetera Wealth Services, Llc
    Seal Beach, CA
  • 2009-05-02 → 2009-05-15
    Chase Investment Services Corp.
    Irvine, CA
  • 2008-11-19 → 2009-05-02
    Wamu Investments, Inc.
    Irvine, CA
Other Businesses

1. RENTAL PROPERTY 2. VOLUNTEER COACH LITTLE LEAGUE BASEBALL, 4-5 HRS/WK;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-11-18
S63 Uniform Securities Agent State Law Examination 1999-12-17
  • S65 Uniform Investment Adviser Law Examination
    2008-11-18
  • S63 Uniform Securities Agent State Law Examination
    1999-12-17

View on SEC IAPD

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Other Offices

CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
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STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA
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WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PASADENA, CA
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