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Roy Seto

Cetera Investment Advisers LLC

Whittier, CA

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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
TX RA APPROVED_RES 2026-01-26
CA RA APPROVED 2023-06-29
  • TX RA
    APPROVED_RES
    Since 2026-01-26
  • CA RA
    APPROVED
    Since 2023-06-29

Branch Locations

15141 E Whittier Blvd Ste 550, Whittier, CA 90603 • 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
Babies R Us Cerritos CA 11/2017 07/2018
South Coast Photography Anaheim CA 07/2018 11/2021
Friends Of Santa Ana Zoo Santa Ana CA 09/2019 01/2022
Clinomics Irvine CA 12/2021 05/2022
Student Fullerton CA 12/2012 11/2017
Unemployed Buena Park CA 06/2022 11/2022
Cetera Wealth Services, Llc El Segundo CA 12/2022 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 11/2017 → 07/2018
    Babies R Us
    Cerritos, CA
  • 07/2018 → 11/2021
    South Coast Photography
    Anaheim, CA
  • 09/2019 → 01/2022
    Friends Of Santa Ana Zoo
    Santa Ana, CA
  • 12/2021 → 05/2022
    Clinomics
    Irvine, CA
  • 12/2012 → 11/2017
    Student
    Fullerton, CA
  • 06/2022 → 11/2022
    Unemployed
    Buena Park, CA
  • 12/2022 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 06/2023 → Present
    Cetera Investment Advisers Llc
    Schaumburg, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-01-23
  • S66 Uniform Combined State Law Examination
    2023-01-23

View on SEC IAPD

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