Best Investors Account Sign in

Nicole Shao

Cetera Investment Advisers LLC

Pasadena, CA

Claim This Profile
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 2025-04-30
  • CA RA
    APPROVED
    Since 2025-04-30

Branch Locations

135 N Los Robles Avenue, 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
Jp Morgan Chase Bank Arcadia CA 04/2015 04/2017
Jp Morgan Securities Llc Arcadia CA 04/2015 02/2023
Jp Morgan Chase Bank, N.A. Arcadia CA 04/2017 02/2023
City National Securities, Inc. Los Angeles CA 02/2023 Present
Cetera Investment Services Llc St Cloud MN 04/2025 Present
Cetera Investment Advisers Llc Pasadena CA 04/2025 Present
East West Bank Pasadena CA 04/2025 Present
  • 04/2015 → 04/2017
    Jp Morgan Chase Bank
    Arcadia, CA
  • 04/2015 → 02/2023
    Jp Morgan Securities Llc
    Arcadia, CA
  • 04/2017 → 02/2023
    Jp Morgan Chase Bank, N.A.
    Arcadia, CA
  • 02/2023 → Present
    City National Securities, Inc.
    Los Angeles, CA
  • 04/2025 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 04/2025 → Present
    Cetera Investment Advisers Llc
    Pasadena, CA
  • 04/2025 → Present
    East West Bank
    Pasadena, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-01-23
S63 Uniform Securities Agent State Law Examination 2015-05-29
  • S66 Uniform Combined State Law Examination
    2022-01-23
  • S63 Uniform Securities Agent State Law Examination
    2015-05-29
Other Names
  • Nicole Shao
  • Mei Yun Shao
  • Nicole M Shao
  • Mei Y Shao
  • Nicole Meiyun Shao

View on SEC IAPD

Other Firms

CMR CAPITAL MANAGEMENT, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
STRATEGY ASSET MANAGERS L.L.C.
MML INVESTORS SERVICES, LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
NASDAQ DORSEY WRIGHT
U.S. BANCORP ADVISORS, LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Other Investors

CHRISTOPHER LEU
JAY EDWIN LOMETILLO
Salvador Rodriguez
Angel Kam Fung Chen
Jaymie BRIAN Wetzel
ALISA JANE CHANPONG
HEIDI PUI WA LEU
Mui Fan CHAN Graca

Other Offices

CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PASADENA, CA
STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA
MML INVESTORS SERVICES, LLC · Pasadena, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PASADENA, CA
NASDAQ DORSEY WRIGHT · Pasadena, CA
U.S. BANCORP ADVISORS, LLC · Pasadena, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Pasadena, CA

More in Pasadena, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor