Best Investors Account Sign in

Shutong Chen

Cetera Investment Advisers LLC

City Of Industry, CA

Claim This Profile
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 2024-06-17
  • CA RA
    APPROVED
    Since 2024-06-17

Branch Locations

1250 S Fullerton Rd, City Of Industry, CA 91748 • 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
Cetera Investment Services Llc St Cloud MN 11/2023 Present
Cathay Bank City Of Industry CA 08/2022 Present
Hsu Yao Tuang & Chiang Cpa Rosemead CA 02/2021 08/2022
University Of California Irvine Irvine CA 09/2019 04/2021
Mt. San Antonio College Walnut CA 09/2017 07/2019
Herbert Hoover High School Glendale CA 09/2016 07/2017
Cetera Investment Advisers Llc City Of Industry CA 06/2024 Present
  • 11/2023 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 08/2022 → Present
    Cathay Bank
    City Of Industry, CA
  • 02/2021 → 08/2022
    Hsu Yao Tuang & Chiang Cpa
    Rosemead, CA
  • 09/2019 → 04/2021
    University Of California Irvine
    Irvine, CA
  • 09/2017 → 07/2019
    Mt. San Antonio College
    Walnut, CA
  • 09/2016 → 07/2017
    Herbert Hoover High School
    Glendale, CA
  • 06/2024 → Present
    Cetera Investment Advisers Llc
    City Of Industry, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-06-10
  • S66 Uniform Combined State Law Examination
    2024-06-10

View on SEC IAPD

Other Firms

TRANSAMERICA FINANCIAL ADVISORS, LLC
LPL ENTERPRISE, LLC
CITIGROUP GLOBAL MARKETS INC.
WELLS FARGO CLEARING SERVICES, LLC
PACKERLAND BROKERAGE SERVICES, INC.
EAGLE STRATEGIES LLC
GOLDEN STATE CAPITAL INC.
J.P. MORGAN SECURITIES LLC

Other Investors

JING WU
Yueyi Du
Li Li Chan
SUNNY KAI SHUN LEUNG
LILY WEI YEE LEUNG OU
VICTOR NELSON LEE
BEN JOHNSON
SAPPHIRA XIAOPAN WANG CHOW

Other Offices

TRANSAMERICA FINANCIAL ADVISORS, LLC · City of Industry, CA
LPL ENTERPRISE, LLC · CITY OF INDUSTRY, CA
CETERA INVESTMENT ADVISERS LLC · CITY OF INDUSTRY, CA
CITIGROUP GLOBAL MARKETS INC. · City of Industry, CA
WELLS FARGO CLEARING SERVICES, LLC · CITY OF INDUSTRY, CA
PACKERLAND BROKERAGE SERVICES, INC. · City of Industry, CA
CETERA INVESTMENT ADVISERS LLC · ROWLAND HEIGHTS, CA
EAGLE STRATEGIES LLC · ROWLAND HEIGHT, CA

More in City Of Industry, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor