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Detailed Report
HELEN HUI ZHOU
HELEN ZHOU, HUI ZHOU
CRD#: 4713583
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 135 N LOS ROBLES AVENUE
PASADENA, CA 91101
CETERA INVESTMENT SERVICES LLCCRD#: 15340 135 N LOS ROBLES AVENUE
PASADENA, CA 91101
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2007 - 2011 (3 years)2 FIRMS2011 - 2012 (1 year)2 FIRMS2013 - 2018 (5 years)2 FIRMS2018 - Present (6 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2007 - 2007 (<1 year)BCITICORP INVESTMENT SERVICES (CRD# 23988)2004 - 2007 (2 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2003 - 2004 (<1 year)IAMERRILL LYNCH PIERCE FENNER & ... (CRD# 7691)2004 - 2004 (<1 year)
Disclosure(s)
View By:
6/29/2010
Customer Dispute
Denied
License(s)

State Registrations

B
California 9/13/2018
IA
California 9/13/2018

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)
135 N LOS ROBLES AVENUE, PASADENA, CA 91101
Registered with this firm since 9/13/2018
B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
135 N LOS ROBLES AVENUE, PASADENA, CA 91101
Registered with this firm since 9/13/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/04/2013 - 06/25/2018 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) SAN FRANCISCO, CA
B
 03/05/2013 - 06/25/2018 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) SAN FRANCISCO, CA
IA
 01/03/2011 - 07/18/2012 WELLS FARGO ADVISORS, LLC (CRD#:19616) SAN JOSE, CA
B
 01/03/2011 - 07/18/2012 WELLS FARGO ADVISORS, LLC (CRD#:19616) SAN JOSE, CA
IA
 07/27/2007 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN JOSE, CA
B
 07/27/2007 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN JOSE, CA
B
 05/29/2007 - 06/29/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) THOUSAND OAKS, CA
B
 10/14/2004 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) THOUSAND OAKS, CA
IA
 02/05/2004 - 09/28/2004 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) SAN DIEGO, CA
B
 11/21/2003 - 09/28/2004 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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.