Ia Phan Shieh Jones

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2025-01-02
CA	RA	APPROVED	2020-12-07

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

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

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

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

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

Other Firms