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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2020-11-12 |
Branch Locations
1294 Kifer Road Suite 707, Sunnyvale, CA 94086 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Allied Securities, Inc. | San Diego | CA | 02/2002 | 09/2022 |
| First Allied Advisory Services, Inc. | Chesterfield | MO | 07/2012 | 11/2020 |
| First Allied Advisory Services | Schaumburg | IL | 11/2020 | 11/2020 |
| Cetera Advisors Llc | Sunnyvale | CA | 09/2022 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 11/2020 | Present |
1. SHIN SHIN EDUCATIONAL FOUNDATION; VOLUNTEER; NON-PROFIT ORGANIZATION; START DATE 10/01/2013; 4 HOURS PER MONTH 2. HU FAMILY TRUST; TRUSTEE; FIDUCIARY POSITION; START DATE 04/18/2008
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-05-31 |
| S63 | Uniform Securities Agent State Law Examination | 1995-01-11 |
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