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Detailed Report
SHU-YUAN LAI
SUE LAI
CRD#: 4559002
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 9650 FLAIR DR
EL MONTE, CA 91731
CETERA INVESTMENT SERVICES LLCCRD#: 15340 9650 FLAIR DR
EL MONTE, CA 91731
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2004 - 2006 (2 years)2 FIRMS2017 - 2017 (<1 year)2 FIRMS2017 - Present (7 years)BCETERA INVESTMENT SERVICES LLC (CRD# 15340)2006 - 2017 (10 years)BPRIMEVEST FINANCIAL SERVICES, INC. (CRD# 15340)2002 - 2004 (1 year)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2014 - 2017 (3 years)IACETERA INVESTMENT SERVICES LLC (CRD# 15340)2006 - 2014 (7 years)IAPRIMEVEST FINANCIAL SERVICES, INC. (CRD# 15340)2003 - 2004 (1 year)
License(s)

State Registrations

B
California 9/25/2017
B
Hawaii 9/27/2017
IA
California 9/25/2017
B
New Jersey 1/31/2018

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)
9650 FLAIR DR, EL MONTE, CA 91731
Registered with this firm since 9/25/2017
B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
9650 FLAIR DR, EL MONTE, CA 91731
Registered with this firm since 9/25/2017
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/01/2017 - 09/25/2017 LPL FINANCIAL LLC (CRD#:6413) EL MONTE, CA
B
 02/28/2017 - 09/25/2017 LPL FINANCIAL LLC (CRD#:6413) EL MONTE, CA
IA
 01/21/2014 - 02/28/2017 CETERA INVESTMENT ADVISERS LLC (CRD#:105644) EL MONTE, CA
B
 10/05/2006 - 02/28/2017 CETERA INVESTMENT SERVICES LLC (CRD#:15340) OAKLAND, CA
IA
 10/05/2006 - 01/21/2014 CETERA INVESTMENT SERVICES LLC (CRD#:15340) OAKLAND, CA
IA
 11/29/2004 - 10/06/2006 UVEST FINANCIAL SERVICES GROUP, INC. (CRD#:13787) LOS ANGELES, CA
B
 05/11/2004 - 10/06/2006 UVEST FINANCIAL SERVICES GROUP, INC. (CRD#:13787) LOS ANGELES, CA
IA
 01/07/2003 - 02/17/2004 PRIMEVEST FINANCIAL SERVICES, INC. (CRD#:15340) LOS ANGELES, CA
B
 10/02/2002 - 02/17/2004 PRIMEVEST FINANCIAL SERVICES, INC. (CRD#:15340) ST. CLOUD, MN
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.