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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2016-07-07 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| East West Bank | Rowland Heights | CA | 12/2015 | Present |
| Cetera Investment Services Llc | St Cloud | MN | 07/2016 | Present |
| Cetera Investment Advisers Llc | Rowland Heights | CA | 07/2016 | Present |
"1.)EAST WEST BANK; MANAGER AND LEADER TO BRANCHES. 2.)EAST LOS ANGELES COLLEGE FOUNDATION; FINANCE COMMITTEE AND EXECUTIVE COMMITTEE MEMBER. 3.)CITY OF ARCADIA; BOARD MEMBER OF OVERSIGHT BOARD; REVIEW AND APPROVAL OF ACTIONS TAKEN BY SUCCESSOR AGENCY. 4.) LA CHINESE-AMERICAN SHERIFF'S ADVISORY COUNCIL; MEMBER; ATTEND MEETINGS AND SEMINARS. 5.) WEST SAN GABRIEL VALLEY BOYS AND GIRLS CLUB; MEMBER OF BOARD OF DIRECTORS; ATTEND MEETINGS AND FUND RAISING ACTIVITIES; NOT SECURITIES RELATED."
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-05-22 |
| S63 | Uniform Securities Agent State Law Examination | 2011-04-26 |
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