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Detailed Report
DOO HAN HONG
DAVID HONG
CRD#: 2855246
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 155 NORTH LAKE AVENUE
SUITE 430
PASADENA, CA 91101
CETERA INVESTMENT SERVICES LLCCRD#: 15340 155 NORTH LAKE AVENUE
SUITE 430
PASADENA, CA 91101
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1997 - 2001 (4 years)2 FIRMS2005 - 2017 (11 years)2 FIRMS2017 - 2022 (5 years)2 FIRMS2022 - Present (2 years)BMETROPOLITAN LIFE INSURANCE CO... (CRD# 4095)2005 - 2007 (1 year)BPRUCO SECURITIES, LLC. (CRD# 5685)2001 - 2005 (3 years)IAPRUDENTIAL FINANCIAL PLANNING ... (CRD# 5685)2002 - 2005 (3 years)
License(s)

State Registrations

B
California 7/7/2022
B
Minnesota 9/18/2024
IA
California 7/7/2022
B
New Jersey 8/9/2024
B
Georgia 6/23/2023
B
Texas 11/20/2023
B
Hawaii 11/20/2023
IA
Texas 11/20/2023
B
Illinois 11/20/2023
B
Washington 11/20/2023

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 INVESTMENT SERVICES LLC (CRD#:15340)
155 NORTH LAKE AVENUE SUITE 430, PASADENA, CA 91101
BUENA PARK, CA
Registered with this firm since 7/7/2022
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
155 NORTH LAKE AVENUE SUITE 430, PASADENA, CA 91101
BUENA PARK, CA
Registered with this firm since 7/7/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/25/2017 - 07/12/2022 MML INVESTORS SERVICES, LLC (CRD#:10409) Los Angeles, CA
B
 03/25/2017 - 07/12/2022 MML INVESTORS SERVICES, LLC (CRD#:10409) Los Angeles, CA
IA
 10/17/2005 - 03/25/2017 MSI FINANCIAL SERVICES, INC. (CRD#:14251) Los Angeles, CA
B
 09/07/2005 - 03/25/2017 MSI FINANCIAL SERVICES, INC. (CRD#:14251) Los Angeles, CA
B
 09/07/2005 - 07/09/2007 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) LOS ANGELES, CA
IA
 06/11/2002 - 08/09/2005 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) LOS ANGELES, CA
B
 10/03/2001 - 08/09/2005 PRUCO SECURITIES, LLC. (CRD#:5685) NEWARK, NJ
B
 03/06/1997 - 09/28/2001 METLIFE SECURITIES INC. (CRD#:14251) SPRINGFIELD, MA
B
 03/06/1997 - 09/28/2001 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) NEW YORK, NY
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.