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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 | 2017-09-25 |
Branch Locations
250 S Atlantic Blvd, Monterey Park, CA 91754 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cathay Bank | Monterey Park | CA | 01/2006 | Present |
| Cetera Investment Services Llc | St. Cloud | MN | 10/2006 | 02/2017 |
| Cetera Investment Advisers Llc | Monterey Park | CA | 01/2014 | 02/2017 |
| Lpl Financial, Llc | Monterey Park | CA | 02/2017 | 09/2017 |
| Cetera Investment Services Llc | St Cloud | MN | 09/2017 | Present |
| Cetera Investment Advisers Llc | Monterey Park | CA | 09/2017 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-05-24 |
| S63 | Uniform Securities Agent State Law Examination | 2000-07-17 |
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