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FU LIN
DAPHNE LIN
CRD#: 4594080
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 17432 COLIMA RD
ROWLAND HEIGHTS, CA 91748
CETERA INVESTMENT SERVICES LLCCRD#: 15340 17432 COLIMA RD
ROWLAND HEIGHTS, CA 91748
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2003 - 2004 (<1 year)2 FIRMS2004 - 2005 (1 year)2 FIRMS2005 - 2006 (1 year)2 FIRMS2006 - 2007 (<1 year)2 FIRMS2007 - 2007 (<1 year)2 FIRMS2007 - 2008 (1 year)2 FIRMS2009 - 2009 (<1 year)2 FIRMS2009 - 2010 (<1 year)2 FIRMS2010 - 2012 (1 year)2 FIRMS2012 - 2013 (1 year)2 FIRMS2013 - 2016 (2 years)2 FIRMS2016 - 2016 (<1 year)2 FIRMS2016 - 2017 (<1 year)2 FIRMS2017 - Present (7 years)
Disclosure(s)
View By:
5/15/2013
Customer Dispute
Settled
License(s)

State Registrations

B
California 10/2/2017

B
Michigan 10/2/2017

IA
California 10/2/2017

B
New Jersey 12/21/2022

B
Hawaii 3/3/2023

B
Texas 2/26/2021

B
Illinois 12/26/2024

IA
Texas 1/12/2023

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
17432 COLIMA RD, ROWLAND HEIGHTS, CA 91748
Registered with this firm since 10/2/2017

B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
17432 COLIMA RD, ROWLAND HEIGHTS, CA 91748
9759 BASE LINE RD, RANCHO CUCAMONGA, CA 91730
Registered with this firm since 10/2/2017

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/17/2016 - 09/29/2017 ONEAMERICA SECURITIES, INC. (CRD#:4173) Diamond Bar, CA
B
10/17/2016 - 09/29/2017 ONEAMERICA SECURITIES, INC. (CRD#:4173) Diamond Bar, CA
IA
06/28/2016 - 09/12/2016 MML INVESTORS SERVICES, LLC (CRD#:10409) DIAMOND BAR, CA
B
06/10/2016 - 09/12/2016 MML INVESTORS SERVICES, LLC (CRD#:10409) DIAMOND BAR, CA
IA
04/03/2013 - 03/11/2016 SECURITIES AMERICA ADVISORS, INC. (CRD#:110518) DIAMOND BAR, CA
B
04/03/2013 - 03/11/2016 SECURITIES AMERICA, INC. (CRD#:10205) DIAMOND BAR, CA
IA
02/09/2012 - 04/05/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ONTARIO, CA
B
02/09/2012 - 04/05/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ONTARIO, CA
IA
09/08/2010 - 01/23/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) HACIENDA HEIGHTS, CA
B
09/08/2010 - 01/23/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) HACIENDA HEIGHTS, CA
IA
12/15/2009 - 08/25/2010 ING FINANCIAL PARTNERS, INC (CRD#:2882) SAN GABRIEL, CA
B
12/10/2009 - 08/25/2010 ING FINANCIAL PARTNERS, INC. (CRD#:2882) SAN GABRIEL, CA
IA
03/03/2009 - 09/10/2009 PRIMEVEST FINANCIAL SERVICES, INC. (CRD#:15340) CITY OF INDUSTRY, CA
B
03/03/2009 - 09/10/2009 PRIMEVEST FINANCIAL SERVICES, INC. (CRD#:15340) CITY OF INDUSTRY, CA
IA
10/01/2007 - 10/31/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BREA, CA
B
10/01/2007 - 10/31/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BREA, CA
IA
05/30/2007 - 08/10/2007 BANCWEST INVESTMENT SERVICES, INC. (CRD#:29357) IRVINE, CA
B
05/30/2007 - 08/10/2007 BANCWEST INVESTMENT SERVICES, INC. (CRD#:29357) IRVINE, CA
IA
10/17/2006 - 05/23/2007 UVEST FINANCIAL SERVICES GROUP, INC. (CRD#:13787) ROWLAND HEIGHTS, CA
B
10/17/2006 - 05/23/2007 UVEST FINANCIAL SERVICES GROUP, INC. (CRD#:13787) ROWLAND HEIGHTS, CA
IA
08/01/2005 - 10/06/2006 UVEST FINANCIAL SERVICES GROUP, INC. (CRD#:13787) ROWLAND HEIGHTS, CA
B
08/01/2005 - 10/06/2006 UVEST FINANCIAL SERVICES GROUP, INC. (CRD#:13787) ROWLAND HEIGHTS, CA
IA
04/21/2004 - 07/19/2005 UCB INVESTMENT SERVICES, INC. (CRD#:125574) SAN FRANCISCO, CA
B
04/12/2004 - 07/19/2005 UCB INVESTMENT SERVICES, INC. (CRD#:125574) MONTEREY PARK, CA
IA
07/03/2003 - 03/08/2004 PRIMEVEST FINANCIAL SERVICES, INC. (CRD#:15340) LOS ANGELES, CA
B
05/29/2003 - 03/08/2004 PRIMEVEST FINANCIAL SERVICES, INC. (CRD#:15340) ST. CLOUD, MN
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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.