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PING SHUANG CATHY WU
CATHY WU, PING SHUANG WU
CRD#: 4924232
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 200 E DUARTE
ARCADIA, CA 91006
CETERA INVESTMENT SERVICES LLCCRD#: 15340 200 E DUARTE
ARCADIA, CA 91006
Registration History
200620082010201220142016201820202022202420262 FIRMS2009 - 2010 (<1 year)2 FIRMS2010 - 2013 (3 years)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2014 - Present (11 years)BCETERA INVESTMENT SERVICES LLC (CRD# 15340)2013 - Present (11 years)BUCB INVESTMENT SERVICES, INC. (CRD# 125574)2007 - 2009 (1 year)BGENESIS SECURITIES, LLC (CRD# 46992)2006 - 2007 (<1 year)IACETERA INVESTMENT SERVICES LLC (CRD# 15340)2013 - 2014 (<1 year)
Disclosure(s)
View By:
7/25/2024
Customer Dispute
Denied
License(s)

State Registrations

B
California 9/16/2013

B
Nevada 9/30/2024

IA
California 1/21/2014

B
New York 4/12/2018

B
Florida 5/6/2022

B
Washington 4/2/2021

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)
200 E DUARTE, ARCADIA, CA 91006
Registered with this firm since 1/21/2014

B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
200 E DUARTE, ARCADIA, CA 91006
23737 HAWTHORNE BOULEVARD, TORRANCE, CA 90505
Registered with this firm since 9/16/2013

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
09/16/2013 - 01/21/2014 CETERA INVESTMENT SERVICES LLC (CRD#:15340) ENCINO, CA
IA
01/01/2010 - 04/15/2013 UBS FINANCIAL SERVICES INC. (CRD#:8174) PASADENA, CA
B
01/01/2010 - 04/15/2013 UBS FINANCIAL SERVICES INC. (CRD#:8174) PASADENA, CA
IA
08/17/2009 - 01/01/2010 UBS INTERNATIONAL INC. (CRD#:107726) PASADENA, CA
B
04/16/2009 - 01/01/2010 UBS INTERNATIONAL INC. (CRD#:107726) PASADENA, CA
B
06/07/2007 - 04/17/2009 UCB INVESTMENT SERVICES, INC. (CRD#:125574) INDUSTRY, CA
B
11/02/2006 - 06/01/2007 GENESIS SECURITIES, LLC (CRD#:46992)
FINRA expelled the firm on 05/21/2012
NEW YORK, NY
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B
Broker
IA
Investment Adviser
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.