Ia Phan Shieh Jones

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

• 09/2011 → 09/2016
  Merrill Lynch, Pierce, Fenner And Smith Incorporated
  San Diego, CA
• 11/2011 → 09/2016
  Bank Of America, N.A.
  San Diego, CA
• 09/2016 → 11/2016
  Wells Fargo Advisors, Llc
  San Diego, CA
• 11/2016 → 11/2020
  Wells Fargo Clearing Services, Llc
  San Diego, CA
• 12/2020 → Present
  Cetera Investment Services Llc
  St Cloud, MN
• 12/2020 → Present
  Cetera Investment Advisers Llc
  San Diego, CA

Previous Registrations

• 2016-09-07 → 2020-11-05
  Wells Fargo Clearing Services, Llc
  San Diego, CA
• 2011-10-19 → 2016-09-14
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  San Diego, CA
  San Diego, CA
  San Diego, CA
  San Diego, CA
  San Diego, CA
  San Diego, CA
  El Cajon, CA
  Rancho Santa Fe, CA
  La Mesa, CA
• 2010-07-30 → 2011-08-19
  Morgan Stanley
  La Mesa, CA

Other Businesses

1. PUSHPIN FINANCIAL, DBA FOR CETERA BUSINESS, 25% OWNER 2. RENTAL PROPERTY, 100% OWNER 3. PTA HEARST ELEMENTRY SCHOOL

Exams

• S66 Uniform Combined State Law Examination
  2010-07-29
• S63 Uniform Securities Agent State Law Examination
  2008-05-23

Other Names

• Ia Phan Shieh
• Wendy Shieh
• Wendy Shieh
• Ia Phan Shieh
• Ia Phan Shieh
• Wendy Shieh Jones
• Ia Phan Shieh Jones