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Detailed Report
ARTHUR CHUNG HSIEH
CRD#: 2086229
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 255 S. MARENGO AVE.
PASADENA, CA 91101
CETERA ADVISORS LLCCRD#: 10299 255 SOUTH MARENGO AVENUE
PASADENA, CA 91101
Registration History
19901995200020052010201520202025BCETERA ADVISORS LLC (CRD# 10299)2022 - Present (2 years)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2020 - Present (4 years)BFIRST ALLIED SECURITIES, INC. (CRD# 32444)2008 - 2022 (14 years)BFFP SECURITIES, INC. (CRD# 16337)1990 - 2008 (17 years)IAFIRST ALLIED ADVISORY SERVICES... (CRD# 137888)2007 - 2020 (13 years)IAFFP ADVISORY SERVICES INC (CRD# 110778)1994 - 2007 (12 years)
License(s)

State Registrations

B
Arizona 2/7/2025
IA
Texas 11/12/2020
IA
California 11/12/2020
B
Texas 9/8/2022
B
California 9/8/2022
B
Virginia 9/8/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
CETERA ADVISORS LLC (CRD#:10299)
255 SOUTH MARENGO AVENUE, PASADENA, CA 91101
SOUTH PASADENA, CA
Registered with this firm since 9/8/2022
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
255 S. MARENGO AVE., PASADENA, CA 91101
Registered with this firm since 11/12/2020
Previous Registration(s)
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B
 05/30/2008 - 09/08/2022 FIRST ALLIED SECURITIES, INC. (CRD#:32444) PASADENA, CA
IA
 01/01/2007 - 11/12/2020 FIRST ALLIED ADVISORY SERVICES, INC. (CRD#:137888) PASADENA, CA
B
 08/24/1990 - 05/30/2008 FFP SECURITIES, INC. (CRD#:16337) PASADENA, CA
IA
 10/27/1994 - 01/03/2007 FFP ADVISORY SERVICES INC (CRD#:110778) PASADENA, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.