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Dan Liu

Cetera Investment Advisers LLC

Pasadena, CA

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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 2023-01-17
  • CA RA
    APPROVED
    Since 2023-01-17

Branch Locations

135 N Los Robles Avenue 2Nd Floor, 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
Hsbc Bank Usa Na Temple City CA 05/2017 04/2022
Hsbc Securities Usa Inc Temple City CA 07/2018 04/2022
Hsbc China Guangzhou 11/2010 12/2016
Unemployment Monterey Park CA 01/2017 04/2017
East West Bank Pasadena CA 04/2022 Present
Cetera Investment Services Llc St Cloud MN 04/2022 Present
Cetera Investment Advisers Llc Pasadena CA 01/2023 Present
  • 05/2017 → 04/2022
    Hsbc Bank Usa Na
    Temple City, CA
  • 07/2018 → 04/2022
    Hsbc Securities Usa Inc
    Temple City, CA
  • 11/2010 → 12/2016
    Hsbc China
    Guangzhou
  • 01/2017 → 04/2017
    Unemployment
    Monterey Park, CA
  • 04/2022 → Present
    East West Bank
    Pasadena, CA
  • 04/2022 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 01/2023 → Present
    Cetera Investment Advisers Llc
    Pasadena, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-01-11
S63 Uniform Securities Agent State Law Examination 2018-11-06
  • S66 Uniform Combined State Law Examination
    2023-01-11
  • S63 Uniform Securities Agent State Law Examination
    2018-11-06
Other Names
  • Stephy Liu

View on SEC IAPD

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Other Offices

CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
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STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA
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WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PASADENA, CA
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