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Detailed Report
OLIVER Y TAO
CRD#: 4080805
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 135 N LOS ROBLES AVENUE
2ND FLOOR
PASADENA, CA 91101
CETERA INVESTMENT SERVICES LLCCRD#: 15340 135 N LOS ROBLES AVENUE
PASADENA, CA 91101
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2008 - 2009 (<1 year)2 FIRMS2009 - 2009 (<1 year)2 FIRMS2011 - 2012 (1 year)2 FIRMS2012 - 2013 (<1 year)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2014 - Present (11 years)BCETERA INVESTMENT SERVICES LLC (CRD# 15340)2013 - Present (11 years)BFINANCIAL NETWORK INVESTMENT C... (CRD# 13572)2001 - 2007 (6 years)BSUNAMERICA SECURITIES, INC. (CRD# 20068)1999 - 2000 (<1 year)IACETERA INVESTMENT SERVICES LLC (CRD# 15340)2013 - 2014 (<1 year)
License(s)

State Registrations

B
California 6/10/2013
B
New York 3/31/2022
IA
California 1/21/2014
B
Texas 2/19/2014
B
Massachusetts 11/10/2023
IA
Texas 1/12/2023
B
Nevada 10/16/2017
B
Washington 5/8/2015
IA
New York 3/31/2021

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)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
135 N LOS ROBLES AVENUE 2ND FLOOR, PASADENA, CA 91101
Registered with this firm since 1/21/2014
B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
135 N LOS ROBLES AVENUE, PASADENA, CA 91101
19540 JAMBOREE ROAD SUITE 150, IRVINE, CA 92612
Registered with this firm since 6/10/2013
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/10/2013 - 01/21/2014 CETERA INVESTMENT SERVICES LLC (CRD#:15340) PASADENA, CA
IA
 11/09/2012 - 05/31/2013 CETERA INVESTMENT SERVICES LLC (CRD#:15340) EL MONTE, CA
B
 11/09/2012 - 05/31/2013 CETERA INVESTMENT SERVICES LLC (CRD#:15340) EL MONTE, CA
IA
 03/03/2011 - 11/16/2012 FINANCIAL NETWORK INVESTMENT CORPORATION (CRD#:13572) SEAL BEACH, CA
B
 01/03/2011 - 11/16/2012 FINANCIAL NETWORK INVESTMENT CORPORATION (CRD#:13572) SEAL BEACH, CA
IA
 05/02/2009 - 05/15/2009 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) IRVINE, CA
B
 05/02/2009 - 05/15/2009 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) IRVINE, CA
IA
 11/19/2008 - 05/02/2009 WAMU INVESTMENTS, INC. (CRD#:599) IRVINE, CA
B
 08/21/2008 - 05/02/2009 WAMU INVESTMENTS, INC. (CRD#:599) IRVINE, CA
B
 04/27/2001 - 12/19/2007 FINANCIAL NETWORK INVESTMENT CORPORATION (CRD#:13572) EL SEGUNDO, CA
B
 12/10/1999 - 10/17/2000 SUNAMERICA SECURITIES, INC. (CRD#:20068) PHOENIX, AZ
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.