Doris C Lau

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2022-10-20
CA	RA	APPROVED	2014-01-21

TX RA
APPROVED_RES

Since 2022-10-20
CA RA
APPROVED

Since 2014-01-21

Branch Locations

18458 Colima Road, Rowland Heights, CA 91748 • United States

Disclosures

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.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
East West Bank	Rowland Heights	CA	01/2013	Present
Cetera Investment Services	Saint Cloud	MN	01/2013	Present
Cetera Investment Advisers Llc	Rowland Heights	CA	01/2014	Present

01/2013 → Present

East West Bank

Rowland Heights, CA
01/2013 → Present

Cetera Investment Services

Saint Cloud, MN
01/2014 → Present

Cetera Investment Advisers Llc

Rowland Heights, CA

Previous Registrations

2011-11-17 → 2012-11-30

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pasadena, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2011-11-15
S63	Uniform Securities Agent State Law Examination	2010-08-24

S66 Uniform Combined State Law Examination

2011-11-15
S63 Uniform Securities Agent State Law Examination

2010-08-24

Other Names

Chung Yun Liu

View on SEC IAPD

Current Employers

Cetera Investment Advisers Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews