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Yan Zhang

Cetera Investment Advisers LLC

Irvine, CA

CRD 6369180

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Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

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 2018-04-05
  • CA RA
    APPROVED
    Since 2018-04-05

Branch Locations

19540 Jamboree Road Ste 150, Irvine, CA 92612 • 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
East West Bank (China) Limited Shanghai 06/2010 05/2017
East West Bank Irvine CA 06/2017 Present
Cetera Investment Services Llc St Cloud MN 06/2017 Present
Cetera Investment Advisers Llc Irvine CA 03/2018 Present
  • 06/2010 → 05/2017
    East West Bank (China) Limited
    Shanghai
  • 06/2017 → Present
    East West Bank
    Irvine, CA
  • 06/2017 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 03/2018 → Present
    Cetera Investment Advisers Llc
    Irvine, CA
Other Businesses

1.) OWNER OF RENTAL PROPERTY

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-03-26
S63 Uniform Securities Agent State Law Examination 2017-10-21
S66 Uniform Combined State Law Examination 2014-10-13
  • S65 Uniform Investment Adviser Law Examination
    2018-03-26
  • S63 Uniform Securities Agent State Law Examination
    2017-10-21
  • S66 Uniform Combined State Law Examination
    2014-10-13
Other Names
  • Kelly Zhang

View on SEC IAPD

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ANH THICAM NGUYEN
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Nearby Offices

VISTA POINT ASSET MANAGEMENT LLC · IRVINE, CA
PRINCIPAL SECURITIES, INC. · IRVINE, CA
GALLAGHER FIDUCIARY ADVISORS, LLC · Irvine, CA

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