Mindy Ngoc-Minh Do

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2017 → Present
  Tax And Finance Solutions, Llc
  Santa Ana, CA
• 06/2019 → 10/2019
  Cetera Financial Specialists Llc
  Schaumburg, IL
• 04/2019 → Present
  Avatar Machine Llc
  Fountain Valley, CA
• 05/2013 → 09/2017
  Tl Machine, Inc.
  Garden Grove, CA
• 10/2019 → Present
  Cetera Financial Specialists Llc
  Schaumburg, IL
• 10/2019 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Other Businesses

1) NAME OF OTHER BUSINESS: TAX AND FINANCE SOLUTIONS, LLC INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: ACCOUNTING; START DATE: 1/2021; POSITION/TITLE/RELATIONSHIP: CPA; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 4; BRIEF DESCRIPTION OF DUTIES: ACCOUNTING, TAX PREPARATION, BUSINESS ADVISORY SERVICES, POA FOR TAX CLIENTS TO GOVERNMENT AGENCIES; 2) NAME OF OTHER BUSINESS: AVATAR MACHINE LLC ; INVESTMENT RELATED: NO ; ADDRESS: 18100 MT WASHINGTON ST, FOUNTAIN VALLEY, CA 92708 ; NATURE OF BUSINESS: CNC MACHINING ; START DATE: 04/2019 ; POSITION/TITLE/RELATIONSHIP: CFO ; APX NUMBER OF HOURS PER WEEK: 4 ; APX NUMBER OF HOURS DURING TRADING HOURS: 4 ; BRIEF DESCRIPTION OF DUTIES: OVERSEE THE ACCOUNTING FUNCTIONS INCLUDING COMMUNICATING WITH LENDERS / BANKS 3) NAME OF OTHER BUSINESS: MINDY DO, CPA ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS RESIDENTIAL LOCATION ; NATURE OF BUSINESS: ACCOUNTING, TAX, BUSINESS CONSULTING ; START DATE: 01/2020 ; POSITION/TITLE/RELATIONSHIP: OWNER / CPA ; APX NUMBER OF HOURS PER WEEK: 20 ; APX NUMBER OF HOURS DURING TRADING HOURS: 20 ; BRIEF DESCRIPTION OF DUTIES: PROVIDE TAX, ACCOUNTING AND BUSINESS CONSULTING SERVICES ; 4) NAME OF OTHER BUSINESS: MINDY DO; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS:RENTALS; START DATE: 06/2024; POSITION/TITLE/RELATIONSHIP: LANDORD; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: RENTING OUT AVAILABLE ROOMS AT RESIDENCE;

Exams

• S66 Uniform Combined State Law Examination
  2019-10-01

Other Names

• Mindy Do