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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
GA RA APPROVED 2023-08-10
TX RA APPROVED 2023-08-10
  • GA RA
    APPROVED
    Since 2023-08-10
  • TX RA
    APPROVED
    Since 2023-08-10

Branch Locations

3235 Satallite Blvd Bldg 400 St 300, Duluth, GA 30096 • 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
Wells Fargo Clearing Services, Llc. Norcross GA 10/2018 04/2021
Wells Fargo Bank Na Norcross GA 03/2017 04/2021
Farmers Insurance -Long Bui Agency Norcross GA 11/2016 03/2017
Unemployed Decatur GA 07/2016 10/2016
Securian Financial Services Saint Paul MN 04/2021 08/2023
Minnesota Life Insurance Company Saint Paul MN 04/2021 08/2023
Providential Legacy Group Duluth GA 04/2021 01/2023
Cetera Wealth Services, Llc Duluth GA 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
Securian Financial Services Saint Paul MN 07/2021 08/2023
Providential Legacy Group Duluth GA 07/2021 12/2022
North Star Resource Group Duluth GA 01/2023 Present
  • 10/2018 → 04/2021
    Wells Fargo Clearing Services, Llc.
    Norcross, GA
  • 03/2017 → 04/2021
    Wells Fargo Bank Na
    Norcross, GA
  • 11/2016 → 03/2017
    Farmers Insurance -Long Bui Agency
    Norcross, GA
  • 07/2016 → 10/2016
    Unemployed
    Decatur, GA
  • 04/2021 → 08/2023
    Securian Financial Services
    Saint Paul, MN
  • 04/2021 → 08/2023
    Minnesota Life Insurance Company
    Saint Paul, MN
  • 04/2021 → 01/2023
    Providential Legacy Group
    Duluth, GA
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Duluth, GA
  • 08/2023 → Present
    Schaumburg, IL
  • 07/2021 → 08/2023
    Securian Financial Services
    Saint Paul, MN
  • 07/2021 → 12/2022
    Providential Legacy Group
    Duluth, GA
  • 01/2023 → Present
    North Star Resource Group
    Duluth, GA
Previous Registrations
  • 2021-07-12 → 2023-08-10
    Securian Financial Services, Inc.
    Hoschton, GA
    Duluth, GA
    St. Paul, MN
Other Businesses

1) NORTH STAR RESOURCE GROUP, FIXED INSURANCE POSITION: AGENT/BROKER NATURE: FIXED INSURANCE SALES INVESTMENT RELATED: NO NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/2023, ADDRESS: 2701 UNIVERSITY AVE SE, MINNEAPOLIS, MN, 55414: 2) VOLUNTEER AT BPSOS POSITION: Volunteer NATURE: VITA-Volunteer Income Tax Assistant INVESTMENT RELATED: No NUMBER OF HOURS: 16 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2022 ADDRESS: 6107 Oakbrook Pkwy, Norcross GA 30093, United States DESCRIPTION: Bpsos is a non-profit organization which is assigned by IRS to help qualified Vietnamese families to file tax return without fee. BPSOS needs volunteers with some education background to input the data to IRS portal, then they will be reviewed and submited by BPOSO's employees. All volunteers will take a IRS course of 6 hours before start. The work can be done virtually, in the evening or weekend. 3) NAME OF OTHER BUSINESS: DOSAMY RENTALS LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: REAL ESTATE RENTALS; START DATE: 10/2023; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: LLC FOR RENTAL PROPERTIES THAT RENT TO TENANTS: 4) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 08/2024; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 5) NAME OF OTHER BUSINESS: GEORGIA VIETNAMESE AMERICAN CHAMBER OF COMMERCE; INVESTMENT RELATED: NO; ADDRESS: 4500 SATELLITE BLVD, SUITE 1140, DULUTH, GA 30096; NATURE OF BUSINESS: BOARD; START DATE: 9/2024; POSITION/TITLE/RELATIONSHIP: ELECTED BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: ATTEND BOARD MEETINGS, COORDINATE WITH OTHER MEMBERS TO ORGANIZE NETWORKING EVENTS; 6) NAME OF OTHER BUSINESS: NORTH STAR RESOURCE GROUP; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 8/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-06-29
S63 Uniform Securities Agent State Law Examination 2019-02-13
  • S66 Uniform Combined State Law Examination
    2021-06-29
  • S63 Uniform Securities Agent State Law Examination
    2019-02-13
Other Names
  • Ha T Do
  • Hana Do
  • Ha Do

View on SEC IAPD

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