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Kai Yuan Cheng

Cetera Investment Advisers LLC

Rowland Heights, 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
CA RA APPROVED 2018-09-11
  • CA RA
    APPROVED
    Since 2018-09-11

Branch Locations

17530 E Colima Road, Rowland Heights, CA 91748 • 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 Los Angeles CA 07/1998 09/2016
Cetera Investment Services St. Cloud MN 07/2008 09/2016
Cetera Investment Advisers Llc Ontario CA 01/2014 09/2016
East West Bank Rowland Heights CA 09/2016 09/2018
East West Bank Rowland Heights CA 09/2018 Present
Cetera Investment Services Llc St Cloud MN 09/2018 Present
Cetera Investment Advisers Llc Rowland Heights CA 09/2018 Present
  • 07/1998 → 09/2016
    Cathay Bank
    Los Angeles, CA
  • 07/2008 → 09/2016
    Cetera Investment Services
    St. Cloud, MN
  • 01/2014 → 09/2016
    Cetera Investment Advisers Llc
    Ontario, CA
  • 09/2016 → 09/2018
    East West Bank
    Rowland Heights, CA
  • 09/2018 → Present
    East West Bank
    Rowland Heights, CA
  • 09/2018 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 09/2018 → Present
    Cetera Investment Advisers Llc
    Rowland Heights, CA
Previous Registrations
  • 2014-01-21 → 2016-09-14
    Cetera Investment Advisers Llc
    Ontario, CA
    El Monte, CA
  • 2009-03-31 → 2014-01-21
    Cetera Investment Services Llc
    El Monte, CA
    Los Angeles, CA
    Ontario, CA
Other Businesses

EAST WEST BANK - SENIOR RELATIONSHIP MANAGER

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-11-07
  • S66 Uniform Combined State Law Examination
    2008-11-07
Other Names
  • Kai Cheng
  • Kaiyuan Cheng

View on SEC IAPD

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Other Investors

BRIAN KIM
Michael K. Hui
PEGGY SUET-MAN TONG
BENJAMIN SHEN
KAI-YUAN HU
Ellie Wong
Jimmy Hua
JIAJIA SHEN

Other Offices

CHARLES SCHWAB & CO., INC. · Rowland Heights, CA
J.P. MORGAN SECURITIES LLC · Rowland Height, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · ROWLAND HEIGHTS, CA
PFS INVESTMENTS INC. · DIAMOND BAR, CA
LPL FINANCIAL LLC · DIAMOND BAR, CA
CITIGROUP GLOBAL MARKETS INC. · ROWLAND HEIGHTS, CA
CETERA INVESTMENT ADVISERS LLC · CITY OF INDUSTRY, CA
CETERA INVESTMENT ADVISERS LLC · DIAMOND BAR, CA

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