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Jia Ni

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 2023-05-26
  • CA RA
    APPROVED
    Since 2023-05-26

Branch Locations

135 N Los Robles Ave 2Nd Fl, 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 National Association Arcadia CA 06/2018 07/2022
Hsbc Securities Usa Inc. Arcadia CA 10/2018 07/2022
Bank Of America Monterey Park CA 06/2017 06/2018
Uber Los Angeles CA 11/2015 05/2017
Citigroup Pasadena CA 07/2022 05/2023
Cetera Investment Services Llc St Cloud MN 05/2023 Present
Cetera Investment Advisers Llc Pasadena CA 05/2023 Present
East West Bank Pasadena CA 05/2023 Present
  • 06/2018 → 07/2022
    Hsbc Bank Usa National Association
    Arcadia, CA
  • 10/2018 → 07/2022
    Hsbc Securities Usa Inc.
    Arcadia, CA
  • 06/2017 → 06/2018
    Bank Of America
    Monterey Park, CA
  • 11/2015 → 05/2017
    Uber
    Los Angeles, CA
  • 07/2022 → 05/2023
    Citigroup
    Pasadena, CA
  • 05/2023 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 05/2023 → Present
    Cetera Investment Advisers Llc
    Pasadena, CA
  • 05/2023 → Present
    East West Bank
    Pasadena, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-01-26
S63 Uniform Securities Agent State Law Examination 2019-02-20
  • S66 Uniform Combined State Law Examination
    2022-01-26
  • S63 Uniform Securities Agent State Law Examination
    2019-02-20
Other Names
  • Jonathan Ni

View on SEC IAPD

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