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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 | 2017-09-28 |
| CA | RA | APPROVED | 2017-09-25 |
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 |
|---|---|---|---|---|
| Bank Of America, N.A. | Arcadia | CA | 07/2016 | 11/2016 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Arcadia | CA | 07/2016 | 11/2016 |
| Cetera Investment Services Llc | St Cloud | MN | 01/2017 | 02/2017 |
| Cetera Investment Advisers Llc | Torrance | CA | 01/2017 | 02/2017 |
| Cathay Bank | Irvine | CA | 12/2016 | Present |
| Lpl Financial, Llc | Torrance | CA | 02/2017 | 09/2017 |
| Cetera Investment Services Llc | St Cloud | MN | 09/2017 | Present |
| Cetera Investment Advisers Llc | Irvine | CA | 09/2017 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-07-23 |
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