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William Cheng Wu Tung

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 2018-10-05
  • CA RA
    APPROVED
    Since 2018-10-05

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
U.S. Bank San Francisco CA 11/2011 04/2018
U.S. Bancorp Investments, Inc. San Francisco CA 03/2013 04/2018
East West Bank Pasadena CA 04/2018 Present
Cetera Investment Services Llc St Cloud MN 09/2018 Present
Cetera Investment Advisers Llc Pasadena CA 09/2018 Present
Previous Registrations
  • 2013-04-08 → 2018-04-11
    U.S. Bancorp Investments, Inc.
    San Francisco, CA
    Minneapolis, MN
  • 2011-01-03 → 2011-11-07
    Wells Fargo Clearing Services, Llc
    San Jose, CA
  • 2008-08-25 → 2011-01-03
    Wells Fargo Investments, Llc
    San Jose, CA
  • 2006-01-31 → 2008-03-24
    Wells Fargo Investments, Llc
    Westlake Village, CA
    Pasadena, CA
  • 2001-08-23 → 2006-01-19
    Banc Of America Investment Services, Inc.
    Fremont, CA
Other Businesses

PROGRAM MANAGER FOR EAST WEST INVESTMENT SERVICES

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-08-28
S63 Uniform Securities Agent State Law Examination 1990-02-16
  • S65 Uniform Investment Adviser Law Examination
    1997-08-28
  • S63 Uniform Securities Agent State Law Examination
    1990-02-16
Other Names
  • Cheng Wu Tung
  • William Cheng Tung
  • Bill Tung

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
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