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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 2023-11-27
  • CA RA
    APPROVED
    Since 2023-11-27

Branch Locations

155 Lake Avenue North Suite 430, 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
626 Games Alhambra CA 05/2014 12/2019
Hsbc Bank (Usa) N.A. Temple City CA 07/2015 12/2016
Hsbc Securities (Usa) Inc. Temple City CA 12/2016 04/2022
Hsbc Bank Usa, National Association Temple City CA 08/2015 12/2016
Hsbc Bank Usa, N.A. Temple City CA 12/2016 04/2022
Ctbc San Marino CA 04/2022 08/2022
Cetera Investment Services Llc St Cloud MN 05/2022 08/2022
Cetera Investment Services Llc Saint Cloud MN 05/2023 Present
Unknown Hacienda Heights CA 08/2022 04/2023
Cetera Investment Advisers Llc Monrovia CA 11/2023 Present
  • 05/2014 → 12/2019
    626 Games
    Alhambra, CA
  • 07/2015 → 12/2016
    Hsbc Bank (Usa) N.A.
    Temple City, CA
  • 12/2016 → 04/2022
    Hsbc Securities (Usa) Inc.
    Temple City, CA
  • 08/2015 → 12/2016
    Hsbc Bank Usa, National Association
    Temple City, CA
  • 12/2016 → 04/2022
    Hsbc Bank Usa, N.A.
    Temple City, CA
  • 04/2022 → 08/2022
    Ctbc
    San Marino, CA
  • 05/2022 → 08/2022
    Cetera Investment Services Llc
    St Cloud, MN
  • 05/2023 → Present
    Cetera Investment Services Llc
    Saint Cloud, MN
  • 08/2022 → 04/2023
    Unknown
    Hacienda Heights, CA
  • 11/2023 → Present
    Monrovia, CA
Other Businesses

1. CO-OWNER OF ARES PALACE LLC (50% OWNERSHIP, PINNACLE REAL ESTATE GROUP; REAL ESTATE AGENT FOCUS ON SELLING PROPERTIES TO CUSTOMERS; ARES PALACE LLC IS AN ACQUISITION COMPANY FOCUSING ON WHOLESALE PROPERTIES; 5 HRS/WK; SALES THROUGH ROYAL OAK BUILDERS, INC; REMODEL AND NEW CONSTRUCTION ON RESIDENTIAL PROPERTIES; 10 HRS/WK

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-11-22
S63 Uniform Securities Agent State Law Examination 2012-04-09
  • S65 Uniform Investment Adviser Law Examination
    2023-11-22
  • S63 Uniform Securities Agent State Law Examination
    2012-04-09
Other Names
  • Jack Lau
  • Chun P Lau
  • Chun Pong Lau

View on SEC IAPD

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