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Kaosheng Lin

Cetera Investment Advisers LLC

San Gabriel, 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
TX RA APPROVED 2017-09-28
CA RA APPROVED 2017-09-25
  • TX RA
    APPROVED
    Since 2017-09-28
  • CA RA
    APPROVED
    Since 2017-09-25

Branch Locations

825 E Valley Blvd 2Nd Floor, San Gabriel, CA 91776 • 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
Cathay Bank San Gabriel CA 11/2015 Present
Cetera Investment Services Llc St Cloud MN 11/2015 02/2017
Cetera Investment Advisers Llc El Monte CA 01/2016 02/2017
Lpl Financial Llc El Monte CA 02/2017 09/2017
Cetera Investment Services Llc St Cloud MN 09/2017 Present
Cetera Investment Advisers Llc San Gabriel CA 09/2017 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-01-20
S63 Uniform Securities Agent State Law Examination 1994-01-26
  • S66 Uniform Combined State Law Examination
    2016-01-20
  • S63 Uniform Securities Agent State Law Examination
    1994-01-26
Other Names
  • Kao Sheng Lin
  • Kyle Lin

View on SEC IAPD

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Other Offices

CITIGROUP GLOBAL MARKETS INC. · San Gabriel, CA
WELLS FARGO CLEARING SERVICES, LLC · ALHAMBRA, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · ALHAMBRA, CA
J.P. MORGAN SECURITIES LLC · ALHAMBRA, CA
EQUITY SERVICES, INC. · ALHAMBRA, CA
EQUITABLE ADVISORS, LLC · ALHAMBRA, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Alhambra, CA
KCLLC · ALHAMBRA, CA

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