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Detailed Report
HOWARD HAO-CHUNG HSIEH
HAO-CHUNG HOWARD HSIEH
CRD#: 4947882
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 14845 JEFFREY ROAD
IRVINE, CA 92618
CETERA INVESTMENT SERVICES LLCCRD#: 15340 14845 JEFFREY ROAD
IRVINE, CA 92618
Registration History
200620082010201220142016201820202022202420262 FIRMS2011 - 2013 (1 year)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2014 - Present (11 years)BCETERA INVESTMENT SERVICES LLC (CRD# 15340)2013 - Present (12 years)BPRIMEVEST FINANCIAL SERVICES, INC. (CRD# 15340)2011 - 2011 (<1 year)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2007 - 2011 (4 years)BCITICORP INVESTMENT SERVICES (CRD# 23988)2005 - 2007 (2 years)IACETERA INVESTMENT SERVICES LLC (CRD# 15340)2013 - 2014 (<1 year)
Disclosure(s)
View By:
3/5/2025
Customer Dispute
Pending
12/27/2022
Customer Dispute
Settled
10/8/2021
Customer Dispute
Settled
License(s)

State Registrations

B
California 3/8/2013
B
New York 8/10/2017
IA
California 1/21/2014
B
Texas 3/27/2020
B
Florida 10/27/2020
IA
Texas 1/12/2023
B
Nevada 3/15/2024

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)
14845 JEFFREY ROAD, IRVINE, CA 92618
Registered with this firm since 1/21/2014
B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
14845 JEFFREY ROAD, IRVINE, CA 92618
15333 CULVER DR, IRVINE, CA 92604
Registered with this firm since 3/8/2013
Previous Registration(s)
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IA
 03/08/2013 - 01/21/2014 CETERA INVESTMENT SERVICES LLC (CRD#:15340) IRVINE, CA
IA
 12/19/2011 - 03/19/2013 BANCWEST INVESTMENT SERVICES, INC. (BWIS) AND BWIS D/B/A FHIS (CRD#:29357) IRVINE, CA
B
 12/19/2011 - 03/19/2013 BANCWEST INVESTMENT SERVICES, INC. (CRD#:29357) IRVINE, CA
B
 06/28/2011 - 12/13/2011 PRIMEVEST FINANCIAL SERVICES, INC. (CRD#:15340) CITY OF INDUSTRY, CA
B
 05/29/2007 - 05/12/2011 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) CERRITOS, CA
B
 04/26/2005 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) CERRITOS, CA
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.