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Samuel Leon Chi

Cetera Investment Advisers LLC

Monterey Park, CA

El Segundo, 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 2023-06-29
  • CA RA
    APPROVED
    Since 2023-06-29

Branch Locations

Monterey Park, CA • United States

2301 Rosecrans Ave #5100, El Segundo, CA 90245 • 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
Cetera Wealth Services, Llc El Segundo CA 01/2013 Present
Cetera Financial Specialists Llc Schaumburg IL 09/2017 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
Cetera Advisors Llc Greenwood Village CO 02/2024 Present
Cetera Investment Services Llc St Cloud MN 05/2026 Present
  • 01/2013 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 09/2017 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 06/2023 → Present
    Cetera Investment Advisers Llc
    Schaumburg, IL
  • 02/2024 → Present
    Cetera Advisors Llc
    Greenwood Village, CO
  • 05/2026 → Present
    Cetera Investment Services Llc
    St Cloud, MN
Previous Registrations
  • 2005-02-18 → 2007-10-23
    Wamu Investments, Inc.
    Irvine, CA
    Fullerton, CA
    Irvine, CA
    Fullerton, CA
  • 2004-10-18 → 2005-02-17
    Citicorp Investment Services
    Gardena, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-10-16
S63 Uniform Securities Agent State Law Examination 1990-10-04
  • S65 Uniform Investment Adviser Law Examination
    2004-10-16
  • S63 Uniform Securities Agent State Law Examination
    1990-10-04
Other Names
  • Samuel L Chi
  • Samy Chi
  • Samuel L Dhi

View on SEC IAPD

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Other Offices

CETERA INVESTMENT ADVISERS LLC · MONTEREY PARK, CA
J.P. MORGAN SECURITIES LLC · MONTEREY PARK, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · MONTEREY PARK, CA
CETERA INVESTMENT ADVISERS LLC · MONTEREY PARK, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · MONTEREY PARK, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · MONTEREY PARK, CA
CITIGROUP GLOBAL MARKETS INC. · Monterey Park, CA
EQUITABLE ADVISORS, LLC · ALHAMBRA, CA

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