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Detailed Report
TING Y WANG
TING WANG
CRD#: 5083931
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
200620082010201220142016201820202022202420262 FIRMS2022 - Present (3 years)BHSBC SECURITIES (USA) INC. (CRD# 19585)2011 - 2022 (10 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2007 - 2011 (3 years)BCITICORP INVESTMENT SERVICES (CRD# 23988)2006 - 2007 (1 year)IAHSBC SECURITIES (USA) INC. (CRD# 19585)2013 - 2022 (8 years)
License(s)

State Registrations

B
California 1/26/2022
IA
California 1/26/2022

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 1/26/2022
B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
135 N LOS ROBLES AVENUE, PASADENA, CA 91101
Registered with this firm since 1/26/2022
Previous Registration(s)
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IA
 06/04/2013 - 01/14/2022 HSBC SECURITIES (USA) INC. (CRD#:19585) SAN GABRIEL, CA
B
 04/08/2011 - 01/14/2022 HSBC SECURITIES (USA) INC. (CRD#:19585) SAN GABRIEL, CA
B
 05/29/2007 - 03/28/2011 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) ARCADIA, CA
B
 03/13/2006 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) MONTEREY PARK, 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.