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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
IL RA APPROVED 2003-09-05
  • IL RA
    APPROVED
    Since 2003-09-05

Branch Locations

1120 E Ogden Avenue Suite 102, Naperville, IL 60563 • 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
Lisu L Tan & Co Ltd Naperville IL 01/1989 Present
Cetera Financial Specialists Schaumburg IL 08/2003 Present
Cetera Investment Advisers Schaumburg IL 09/2003 Present
  • 01/1989 → Present
    Lisu L Tan & Co Ltd
    Naperville, IL
  • 08/2003 → Present
    Cetera Financial Specialists
    Schaumburg, IL
  • 09/2003 → Present
    Cetera Investment Advisers
    Schaumburg, IL
Other Businesses

1)NAME OF OTHER BUSINESS: LISU L. TAN AND CO., LTD., CPAS INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TAX SERVICES; START DATE: 01/1989; POSITION/TITLE/RELATIONSHIP: OWNER / CPA; APX NUMBER OF HOURS PER WEEK: 30; APX NUMBER OF HOURS DURING TRADING HOURS: 30; BRIEF DESCRIPTION OF DUTIES: PROVIDE TAX RETURN SERVICES AND TAX CONSULTATION; 2)PURE LAND CENTER DBA PURE LAND CENTER AND BUDDHIST LIBRARY, NOT INVESTMENT RELATED, 1120 E OGDEN AVE, SUITE 108, NAPERVILLE IL 60563,, RELIGIOUS, STARTED 01/2003, POSITION/TITLE/RELATIONSHIP: PRESIDENT, APX 5 HOURS PER WEEK, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: MANAGEMENT OF BUDDHIST LIBRARY AND TEMPLE

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-11-17
S63 Uniform Securities Agent State Law Examination 1997-10-17
  • S65 Uniform Investment Adviser Law Examination
    1999-11-17
  • S63 Uniform Securities Agent State Law Examination
    1997-10-17
Other Names
  • Lisu Lin Tan

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