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Detailed Report
WILLIAM CHENG WU TUNG
BILL TUNG, CHENG WU TUNG, WILLIAM CHENG TUNG
CRD#: 1735337
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 135 N LOS ROBLES AVENUE
PASADENA, CA 91101
CETERA INVESTMENT SERVICES LLCCRD#: 15340 135 N LOS ROBLES AVENUE
PASADENA, CA 91101
Registration History
199019952000200520102015202020252 FIRMS1989 - 1989 (<1 year)2 FIRMS1992 - 1993 (1 year)2 FIRMS2001 - 2006 (4 years)2 FIRMS2006 - 2008 (2 years)2 FIRMS2008 - 2011 (2 years)2 FIRMS2011 - 2011 (<1 year)2 FIRMS2013 - 2018 (5 years)2 FIRMS2018 - Present (6 years)BCITICORP INVESTMENT SERVICES (CRD# 23988)1999 - 2001 (1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1998 - 1999 (1 year)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)1996 - 1998 (1 year)BCHEMICAL INVESTMENT SERVICES CORP. (CRD# 36312)1996 - 1996 (<1 year)BCHEMICAL INVESTMENT SERVICES CORP. (CRD# 36312)1994 - 1995 (1 year)BLIBERTY SECURITIES CORPORATION (CRD# 14416)1993 - 1994 (1 year)BFINANCIAL HORIZONS SECURITIES ... (CRD# 20221)1993 - 1993 (<1 year)BGNA SECURITIES, INC. (CRD# 10465)1991 - 1992 (<1 year)BGNA SECURITIES, INC. (CRD# 10465)1990 - 1991 (<1 year)BPROTECTIVE EQUITY SERVICES, INC. (CRD# 15708)1990 - 1990 (<1 year)BLANDMARK BROKERAGE SERVICES, INC. (CRD# 20221)1989 - 1990 (1 year)
License(s)

State Registrations

IA
California 10/5/2018
B
California 10/11/2018

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

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Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
135 N LOS ROBLES AVENUE, PASADENA, CA 91101
Registered with this firm since 10/5/2018
B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
135 N LOS ROBLES AVENUE, PASADENA, CA 91101
Registered with this firm since 10/11/2018
Previous Registration(s)
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IA
 04/08/2013 - 04/11/2018 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) SAN FRANCISCO, CA
B
 04/17/2013 - 04/11/2018 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) SAN FRANCISCO, CA
IA
 01/03/2011 - 11/07/2011 WELLS FARGO ADVISORS, LLC (CRD#:19616) SAN JOSE, CA
B
 01/03/2011 - 11/07/2011 WELLS FARGO ADVISORS, LLC (CRD#:19616) SAN JOSE, CA
IA
 08/25/2008 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN JOSE, CA
B
 08/25/2008 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN JOSE, CA
IA
 01/31/2006 - 03/24/2008 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) WESTLAKE VILLAGE, CA
B
 01/31/2006 - 03/24/2008 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) WESTLAKE VILLAGE, CA
IA
 08/23/2001 - 01/19/2006 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) FREMONT, CA
B
 08/15/2001 - 01/19/2006 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) BOSTON, MA
B
 11/09/1999 - 08/02/2001 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, NY
B
 04/06/1998 - 11/11/1999 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 09/18/1996 - 04/10/1998 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) CHICAGO, IL
B
 06/07/1996 - 09/18/1996 CHEMICAL INVESTMENT SERVICES CORP. (CRD#:36312)
B
 07/22/1994 - 08/24/1995 CHEMICAL INVESTMENT SERVICES CORP. (CRD#:36312)
B
 08/05/1993 - 08/01/1994 LIBERTY SECURITIES CORPORATION (CRD#:14416) PURCHASE, NY
B
 05/30/1992 - 08/27/1993 BA INVESTMENT SERVICES, INC. (CRD#:12965) OAKLAND, CA
B
 06/02/1993 - 08/18/1993 FINANCIAL HORIZONS SECURITIES CORPORATION (CRD#:20221)
B
 10/30/1992 - 08/06/1993 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, NY
B
 08/14/1991 - 06/30/1992 GNA SECURITIES, INC. (CRD#:10465) GLEN ALLEN, VA
B
 10/02/1990 - 05/22/1991 GNA SECURITIES, INC. (CRD#:10465) GLEN ALLEN, VA
B
 07/19/1990 - 08/10/1990 PROTECTIVE EQUITY SERVICES, INC. (CRD#:15708) BIRMINGHAM, AL
B
 08/09/1989 - 08/01/1990 LANDMARK BROKERAGE SERVICES, INC. (CRD#:20221)
B
 03/13/1989 - 08/24/1989 EQUICO SECURITIES, INC. (CRD#:6627) NEW YORK, NY
B
 03/13/1989 - 08/24/1989 THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD#:4039) NEW YORK, NY
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.