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Kevin Duong

Cetera Investment Advisers LLC

Pasadena, 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
CA RA APPROVED 2026-04-29
  • CA RA
    APPROVED
    Since 2026-04-29

Branch Locations

135 N Los Robles Avenue, Pasadena, CA 91101 • 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
Wedbush Securities Inc. Los Angeles CA 02/2018 08/2021
Cathay Bank El Monte CA 06/2016 02/2018
First Republic Securities Company, Llc Los Angeles CA 08/2021 09/2023
First Republic Investment Management, Inc Los Angeles CA 08/2021 09/2023
J.P. Morgan Securities Llc Los Angeles CA 09/2023 04/2026
Jp Morgan Chase Bank, N.A. Los Angeles CA 10/2023 04/2026
East West Bank Pasadena CA 04/2026 Present
Cetera Investment Services Llc St Cloud MN 04/2026 Present
Cetera Investment Advisers Llc Pasadena CA 04/2026 Present
  • 02/2018 → 08/2021
    Wedbush Securities Inc.
    Los Angeles, CA
  • 06/2016 → 02/2018
    Cathay Bank
    El Monte, CA
  • 08/2021 → 09/2023
    First Republic Securities Company, Llc
    Los Angeles, CA
  • 08/2021 → 09/2023
    First Republic Investment Management, Inc
    Los Angeles, CA
  • 09/2023 → 04/2026
    J.P. Morgan Securities Llc
    Los Angeles, CA
  • 10/2023 → 04/2026
    Jp Morgan Chase Bank, N.A.
    Los Angeles, CA
  • 04/2026 → Present
    East West Bank
    Pasadena, CA
  • 04/2026 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 04/2026 → Present
    Cetera Investment Advisers Llc
    Pasadena, CA
Previous Registrations
  • 2023-10-24 → 2026-04-15
    J.P. Morgan Securities Llc
    Newport Beach, CA
    Los Angeles, CA
    Alhambra, CA
    Los Angeles, CA
  • 2022-02-09 → 2025-03-25
    J.P. Morgan Private Wealth Advisors Llc
    Los Angeles, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-02-09
  • S66 Uniform Combined State Law Examination
    2022-02-09
Designations

View on SEC IAPD

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Other Offices

CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PASADENA, CA
STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA
MML INVESTORS SERVICES, LLC · Pasadena, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PASADENA, CA
NASDAQ DORSEY WRIGHT · Pasadena, CA
U.S. BANCORP ADVISORS, LLC · Pasadena, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Pasadena, CA

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