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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 | 2023-01-18 |
| NY | RA | APPROVED | 2021-03-31 |
| NJ | RA | APPROVED | 2017-09-26 |
Branch Locations
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 |
|---|---|---|---|---|
| Cathay Bank | Flushing | NY | 11/2013 | Present |
| Cetera Investment Services Llc | St Cloud | MN | 11/2013 | 02/2017 |
| Cetera Investment Advisers Llc | New York | NY | 01/2014 | 02/2017 |
| Lpl Financial | New York | NY | 02/2017 | 09/2017 |
| Cetera Investment Services Llc | St Cloud | MN | 09/2017 | Present |
| Cetera Investment Advisers Llc | Flushing | NY | 09/2017 | Present |
ONE RENTAL PROPERTY
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-12-06 |
| S63 | Uniform Securities Agent State Law Examination | 2010-03-20 |
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