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Detailed Report
Lilly Tung
LILLY L TUNG
CRD#: 4607284
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 135 N LOS ROBLES AVE
PASADENA, CA 91101
CETERA INVESTMENT SERVICES LLCCRD#: 15340 135 N LOS ROBLES AVENUE
PASADENA, CA 91101
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2016 - 2017 (<1 year)2 FIRMS2017 - 2022 (4 years)2 FIRMS2022 - Present (3 years)BHSBC SECURITIES (USA) INC. (CRD# 19585)2006 - 2016 (9 years)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)2002 - 2006 (3 years)IAHSBC SECURITIES (USA) INC. (CRD# 19585)2013 - 2016 (2 years)
License(s)

State Registrations

B
California 2/2/2022
IA
California 2/2/2022

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 AVE, PASADENA, CA 91101
Registered with this firm since 2/2/2022
B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
135 N LOS ROBLES AVENUE, PASADENA, CA 91101
Registered with this firm since 2/2/2022
Previous Registration(s)
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IA
 03/17/2017 - 01/14/2022 HSBC SECURITIES (USA) INC. (CRD#:19585) WALNUT, CA
B
 03/17/2017 - 01/14/2022 HSBC SECURITIES (USA) INC. (CRD#:19585) WALNUT, CA
IA
 09/15/2016 - 02/03/2017 CETERA INVESTMENT ADVISERS LLC (CRD#:105644) ROWLAND HEIGHTS, CA
B
 09/15/2016 - 02/03/2017 CETERA INVESTMENT SERVICES LLC (CRD#:15340) ROWLAND HEIGHTS, CA
IA
 08/20/2013 - 06/10/2016 HSBC SECURITIES (USA) INC. (CRD#:19585) WALNUT, CA
B
 07/18/2006 - 06/10/2016 HSBC SECURITIES (USA) INC. (CRD#:19585) WALNUT, CA
B
 11/20/2002 - 05/22/2006 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) BOSTON, MA
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.