Individual Firm
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MEI XIA GUO
GRACE GUO
CRD#: 4201624
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 250 S ATLANTIC BLVD
MONTEREY PARK, CA 91754
MONTEREY PARK, CA 91754
CETERA INVESTMENT SERVICES LLCCRD#: 15340 250 S ATLANTIC BLVD
MONTEREY PARK, CA 91754
MONTEREY PARK, CA 91754
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7/15/2022
Customer Dispute
Settled
8/10/2021
Customer Dispute
Settled
State Registrations
B
Arizona 9/25/2017
B
Nevada 9/25/2017
B
California 9/25/2017
B
Oregon 9/25/2017
IA
California 9/25/2017
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 9/25/2017
B
Registered with this firm since 9/25/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/28/2017 - 09/25/2017 | MONTEREY PARK, CA | |
B | 02/28/2017 - 09/25/2017 | MONTEREY PARK, CA | |
IA | 01/21/2014 - 02/28/2017 | MONTEREY PARK, CA | |
B | 10/06/2006 - 02/28/2017 | ALHAMBRA, CA | |
IA | 10/10/2006 - 01/21/2014 | ALHAMBRA, CA | |
IA | 06/01/2006 - 10/06/2006 | SAN GABRIEL, CA | |
B | 01/25/2006 - 10/06/2006 | SAN GABRIEL, CA | |
B | 05/06/2004 - 01/10/2006 | MONTEREY PARK, CA | |
B | 03/19/2002 - 05/07/2004 | PURCHASE, NY | |
B | 10/11/2000 - 03/20/2002 | NEWARK, NJ |
For additional information about investment advisers or broker-dealers, please visit
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.