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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 2023-08-24
  • CA RA
    APPROVED
    Since 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

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
OrganizationCityStateFromTo
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
  • 02/2014 → 06/2021
    Jp Morgan Securities Llc
    South Pasadena, CA
  • 06/2012 → 06/2021
    Jp Morgan Chase Bank
    South Pasadena, CA
  • 02/2018 → 02/2019
    Eshe, Inc
    Hacienda Heights, CA
  • 03/2021 → 06/2023
    Cetera Investment Services Llc
    St Cloud, MN
  • 03/2021 → 06/2023
    East West Bank
    Pasadena, CA
  • 06/2021 → 06/2023
    Pasadena, CA
  • 08/2023 → Present
    Ctbc Bank
    City Of Industry, CA
  • 08/2023 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 08/2023 → Present
    City Of Industry, CA
Previous Registrations
Other Businesses

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

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-06-03
S63 Uniform Securities Agent State Law Examination 2014-05-09
  • S65 Uniform Investment Adviser Law Examination
    2021-06-03
  • S63 Uniform Securities Agent State Law Examination
    2014-05-09
Other Names
  • Xiaopan Wang
  • Shanna Wang
  • Xiao Pan Wang
  • Sapphira X Wang
  • Sapphira Wang
  • Sapphira Xiaopan Wang
  • Sapphira Xiaopan Wang Chow
  • Sapphira Xiaopan Wang Chow
  • Sapphira Chow

View on SEC IAPD

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