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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-04-22 |
| NY | RA | APPROVED | 2021-03-31 |
| NJ | RA | APPROVED | 2019-06-20 |
Branch Locations
1430 Broadway Suite 700, New York, NY 10018 • United States
West New York, NJ • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Foresters Advisory Services | New York | NY | 08/2012 | 06/2019 |
| Foresters Financial Services | New York | NY | 10/2012 | 06/2019 |
| Cetera Investment Services Llc | Saint Cloud | MN | 06/2019 | Present |
| Cetera Investment Advisers Llc | New York | NY | 06/2019 | Present |
1. POA FOR PARENTS, HOA DUONG AND CAMBAO DUONG
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-12-24 |
| S63 | Uniform Securities Agent State Law Examination | 2005-11-07 |
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