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Haoping Yu

Cetera Investment Advisers LLC

New York, NY

CRD 6462044

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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:

Current Employers
Cetera Investment Advisers Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-07-14
NY RA APPROVED 2021-03-31
  • TX RA
    APPROVED_RES
    Since 2022-07-14
  • NY RA
    APPROVED
    Since 2021-03-31

Branch Locations

535 Madison Avenue, New York, NY 10022 • 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
East West Bank New York NY 01/2015 Present
Cetera Investment Services Llc St Cloud MN 03/2015 Present
Cetera Investment Advisers Llc New York NY 06/2015 Present
  • 01/2015 → Present
    East West Bank
    New York, NY
  • 03/2015 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 06/2015 → Present
    Cetera Investment Advisers Llc
    New York, NY
Other Businesses

1. PRIVATE BANKER AT EAST WEST BANK

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-05-02
  • S66 Uniform Combined State Law Examination
    2015-05-02
Other Names
  • Vivian Yu

View on SEC IAPD

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