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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-08-24 |
Branch Locations
17851-A1 Colima Road, City Of Industry, CA 91748 • United States
18645 E Gale Ave #150, City Of Industry, CA 91748 • United States
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 |
|---|---|---|---|---|
| Jp Morgan Securities Llc | South Pasadena | CA | 02/2014 | 06/2021 |
| Jp Morgan Chase Bank | South Pasadena | CA | 06/2012 | 06/2021 |
| Eshe, Inc | Hacienda Heights | CA | 02/2018 | 02/2019 |
| Cetera Investment Services Llc | St Cloud | MN | 03/2021 | 06/2023 |
| East West Bank | Pasadena | CA | 03/2021 | 06/2023 |
| Cetera Investment Advisers Llc | Pasadena | CA | 06/2021 | 06/2023 |
| Ctbc Bank | City Of Industry | CA | 08/2023 | Present |
| Cetera Investment Services Llc | St Cloud | MN | 08/2023 | Present |
| Cetera Investment Advisers Llc | City Of Industry | CA | 08/2023 | Present |
1.) OWNER OF THE PETER CHOW AND SAPPHIRA CHOW LIVING TRUST; 2.) LANDLORD; RENT OUT PROPERTIES AND COLLECT RENT; 3.) OCCASSIONALLY SELL HOUSEHOLD ITEMS AND GENERAL MERCHANDISE ONLINE 4.) PAN'S HOME LLC, 50% OWNER (OTHER 50% OWNER IS HUSBAND), 1/HR/WK 5.) SAPPHIRA CHOW, 100% OWNER, REAL ESTATE AGENT 6.) MEMBER OF FAMILY PAWS RESORT LLC; DOG DAYCARE AND BOARDING
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-06-03 |
| S63 | Uniform Securities Agent State Law Examination | 2014-05-09 |
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