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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
TX RA APPROVED 2025-01-16
CA RA APPROVED 2019-06-19
  • TX RA
    APPROVED
    Since 2025-01-16
  • CA RA
    APPROVED
    Since 2019-06-19

Branch Locations

155 North Lake Avenue Suite 430, Pasadena, CA 91101 • United States

Rosemead, CA • 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
Foresters Financial Service - E85 Los Angeles - Cp Monrovia CA 07/2010 06/2019
Foresters Financial Service - E85 Los Angeles - Cp Monrovia CA 03/2014 06/2019
Rental Property Rosemead CA 01/2015 Present
Asj Management Group Rosemead CA 10/2018 Present
Cetera Investment Services Llc St Cloud MN 06/2019 Present
Cetera Investment Advisers Llc Monrovia CA 06/2019 Present
  • 07/2010 → 06/2019
    Foresters Financial Service - E85 Los Angeles - Cp
    Monrovia, CA
  • 03/2014 → 06/2019
    Foresters Financial Service - E85 Los Angeles - Cp
    Monrovia, CA
  • 01/2015 → Present
    Rental Property
    Rosemead, CA
  • 10/2018 → Present
    Asj Management Group
    Rosemead, CA
  • 06/2019 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 06/2019 → Present
    Monrovia, CA
Previous Registrations
  • 2014-04-08 → 2019-06-24
    Foresters Advisory Services, Llc
    Monrovia, CA
Other Businesses

1. RENTAL PROPERTY 2. ASJ MGMT GROUP LLC. 1/3 OWNER FOR RESTAURANT SERVICES. 3. HONORARY BOARD MEMBER FOR BUILDING EDUCATION, NON-PROFIT ORGANIZATION TO PROMOTE EDUCATION AND BUILD SCHOOLS IN THIRD WORLD COUNTRIES, 1-2/HRS/WK 4. ADVISORY BOARD MEMBER AT THE KARUNA PROJECT; HELP WITH FUNDRAISING AND DEVELOP PROGRAMS FOR THE YOUTH; 2-3 HRS/WK; BOARDMEMBER OF SAN FRANCISCO - HO CHI MINH CITY SISTER CITY COMMITTEE; PROMOTE PROSPERITY AND LASTING PEACE BETWEEN PEOIPLE OF VIETNAM AND US; 1-2 HRS/WK. 5. FOUNDER CALVARY AND GRACE FOUNDATION, 1-2/HRS/WK 6. MEMBER OF INTERNATIONAL ASSOCIATION OF LIONS CLUBS, 1-2/HRS/WK

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-03-13
S63 Uniform Securities Agent State Law Examination 2010-09-17
  • S65 Uniform Investment Adviser Law Examination
    2014-03-13
  • S63 Uniform Securities Agent State Law Examination
    2010-09-17

View on SEC IAPD

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