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Hung-En Lai

Cetera Investment Advisers LLC

Los Angeles, 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 2022-04-13
  • CA RA
    APPROVED
    Since 2022-04-13

Branch Locations

801 S Figueroa St, Los Angeles, CA 90017 • 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 Investment Services Llc St Cloud MN 02/2014 04/2022
Cetera Invesment Adviser Llc St Cloud MN 02/2014 04/2022
East West Bank Houston TX 02/2014 04/2022
Ctbc Bank Usa Irvine CA 04/2022 Present
Cetera Investment Services Llc St Cloud MN 04/2022 Present
Cetera Investment Advisers Llc Irvine CA 04/2022 Present
  • 02/2014 → 04/2022
    Cetera Investment Services Llc
    St Cloud, MN
  • 02/2014 → 04/2022
    Cetera Invesment Adviser Llc
    St Cloud, MN
  • 02/2014 → 04/2022
    East West Bank
    Houston, TX
  • 04/2022 → Present
    Ctbc Bank Usa
    Irvine, CA
  • 04/2022 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 04/2022 → Present
    Cetera Investment Advisers Llc
    Irvine, CA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-04-01
S63 Uniform Securities Agent State Law Examination 2008-11-26
  • S65 Uniform Investment Adviser Law Examination
    2011-04-01
  • S63 Uniform Securities Agent State Law Examination
    2008-11-26
Designations
Other Names
  • Hung M Lai
  • Michael H Lai
  • Hung E Lai
  • Hung En Lai

View on SEC IAPD

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