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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

3701 Wilshire Blvd Ste 800, Los Angeles, CA 90010 • 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 09/2013 Present
Chunha Insurance Services, Inc. Garden Grove CA 03/2009 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 09/2013 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 03/2009 → Present
    Chunha Insurance Services, Inc.
    Garden Grove, CA
  • 06/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2007-03-16 → 2013-09-03
    Tower Square Securities, Inc.
    Torrance, CA
    Los Angeles, CA
    Los Angeles, CA
    San Francisco, CA
    Los Angeles, CA
    Garden Grove, CA
    Van Nuys, CA
    Los Angeles, CA
    Los Angeles, CA
    Garden Grove, CA
    Los Angeles, CA
    Los Angeles, CA
    Irvine, CA
    San Diego, CA
    Gardena, CA
    Los Angeles, CA
    Artesia, CA
    Hacienda Heights, CA
    Santa Clara, CA
    Los Angeles, CA
    Torrance, CA
    Cerritos, CA
    Los Angeles, CA
    Los Angeles, CA
    Los Angeles, CA
    Glendale, CA
    Los Angeles, CA
  • 2007-01-04 → 2007-02-27
    Cetera Investment Services Llc
    Los Angeles, CA
  • 2004-07-29 → 2007-01-11
    Tower Square Securities, Inc.
    Los Angeles, CA
    Los Angeles, CA
  • 2004-06-21 → 2004-07-23
    Signator Investors, Inc.
    Los Angles, CA
  • 2003-04-22 → 2003-12-31
    Los Angeles, CA
  • 2000-05-09 → 2002-09-19
    Los Angeles, CA
Other Businesses

1) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 9/1995; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 2) NAME OF OTHER BUSINESS: KOREAN AMERICAN INSURANCE AND FINANCIAL PROFESSIONAL ASSOC.; INVESTMENT RELATED: NO ; ADDRESS: P.O. BOX 761399 LOS ANGELES, CA NATURE OF BUSINESS: NON-PROFIT ; START DATE 01/2021 ; POSITION/TITLE/RELATIONSHIP: DIRECTOR; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: NONE ; BRIEF DESCRIPTION OF DUTIES: PARTICIPATE AND EXECUTE ASSOCIATION BUSINESS ; 3) NAME OF OTHER BUSINESS: CHUNHA INSURANCE SERVICES, INC. INVESTMENT RELATED: YES ADDRESS: 9122 GARDEN GROVE BLVD, GARDEN GROVE, CA 92844 NATURE OF BUSINESS: INSURANCE SALES START DATE: 03/2009 POSITION/TITLE/RELATIONSHIP: BRANCH MANAGER APX NUMBER OF HOURS PER WEEK:8 APX NUMBER OF HOURS DURING TRADING HOURS: 8 BRIEF DESCRIPTION OF DUTIES: SELLS FIXED INSURANCE AND TRAINS AGENTS. 4) NAME OF OTHER BUSINESS: HUB INTERNATIONAL; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: PROPERTY & CASUALTY; START DATE: 4/2024; POSITION/TITLE/RELATIONSHIP: PRODUCER; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: PROPERTY AND CASUALTY INSURANCE SALES;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-02
S63 Uniform Securities Agent State Law Examination 1995-08-02
  • S65 Uniform Investment Adviser Law Examination
    1999-12-02
  • S63 Uniform Securities Agent State Law Examination
    1995-08-02
Other Names
  • Young N Lee

View on SEC IAPD

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