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Chang Soo Han

Cetera Investment Advisers LLC

Duluth, GA

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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 2020-11-12
GA RA APPROVED 2020-11-04
  • TX RA
    APPROVED_RES
    Since 2020-11-12
  • GA RA
    APPROVED
    Since 2020-11-04

Branch Locations

7960 Wentworth Drive, Duluth, GA 30097 • 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
First Allied Securities, Inc. San Diego CA 08/2007 09/2022
First Allied Advisory Services, Inc. Chesterfield MO 07/2012 11/2020
Cetera Advisors Llc Duluth GA 09/2022 Present
Cetera Investment Advisers Llc Schaumburg IL 10/2020 Present
  • 08/2007 → 09/2022
    First Allied Securities, Inc.
    San Diego, CA
  • 07/2012 → 11/2020
    First Allied Advisory Services, Inc.
    Chesterfield, MO
  • 09/2022 → Present
    Cetera Advisors Llc
    Duluth, GA
  • 10/2020 → Present
    Cetera Investment Advisers Llc
    Schaumburg, IL
Previous Registrations
  • 2012-07-02 → 2020-11-12
    First Allied Advisory Services, Inc.
    Duluth, GA
  • 2007-08-21 → 2012-07-02
    First Allied Securities, Inc.
    Duluth, GA
    San Diego, CA
    Pasadena, CA
  • 2004-05-14 → 2007-09-10
    Centaurus Financial, Inc.
    Norwood, NJ
  • 2002-07-30 → 2004-06-04
    Equitable Advisors, Llc
    New Jersey, NJ
Other Businesses

HARVEST FINANCIAL SERVICES, LLC- DBA, INVESTMENT RELATED, 200 TRADING HOURS, FINANCIAL CONSULTANT/CEO.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-07-25
S63 Uniform Securities Agent State Law Examination 1991-11-07
  • S65 Uniform Investment Adviser Law Examination
    1996-07-25
  • S63 Uniform Securities Agent State Law Examination
    1991-11-07

View on SEC IAPD

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