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Chun Gu

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 2026-06-09
  • CA RA
    APPROVED
    Since 2026-06-09

Branch Locations

135 N Los Robles Ave 3Rd 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
East West Bank Pasadena CA 06/2026 Present
Cetera Investment Services Llc St Cloud MN 06/2026 Present
Cetera Investment Advisers Llc Pasadena CA 06/2026 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Alhambra CA 07/2017 Present
Bank Of America, N.A. Alhambra CA 07/2017 Present
Cibc Vancouver 11/2014 10/2016
Pga Group Red Fortune Shanghai 11/2016 03/2017
Unemployed San Gabriel CA 01/2017 07/2017
  • 06/2026 → Present
    East West Bank
    Pasadena, CA
  • 06/2026 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 06/2026 → Present
    Cetera Investment Advisers Llc
    Pasadena, CA
  • 07/2017 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Alhambra, CA
  • 07/2017 → Present
    Bank Of America, N.A.
    Alhambra, CA
  • 11/2014 → 10/2016
    Cibc
    Vancouver
  • 11/2016 → 03/2017
    Pga Group Red Fortune
    Shanghai
  • 01/2017 → 07/2017
    Unemployed
    San Gabriel, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-10-29
  • S66 Uniform Combined State Law Examination
    2019-10-29
Other Names
  • Andy Gu

View on SEC IAPD

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