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Suman Lata Sami
CRD#: 5309456
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 TEMECULA, CA
CETERA INVESTMENT SERVICES LLCCRD#: 15340 TEMECULA, CA
Registration History
20082010201220142016201820202022202420262 FIRMS2007 - 2009 (1 year)2 FIRMS2009 - 2019 (10 years)2 FIRMS2019 - Present (5 years)
License(s)

State Registrations

B
California 3/8/2019

B
Montana 4/5/2019

IA
California 3/8/2019

B
Oregon 7/7/2020

B
Hawaii 4/8/2019

B
Washington 4/5/2019

B
Idaho 4/9/2019

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)
TEMECULA, CA
Registered with this firm since 3/8/2019

B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
TEMECULA, CA
Registered with this firm since 3/7/2019

Previous Registration(s)
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IA
01/20/2009 - 03/13/2019 LPL FINANCIAL LLC (CRD#:6413) HONOLULU, HI
B
01/20/2009 - 03/13/2019 LPL FINANCIAL LLC (CRD#:6413) HONOLULU, HI
IA
12/21/2007 - 01/22/2009 CUNA BROKERAGE SERVICES, INC. (CRD#:13941) SANTA ANA, CA
B
07/27/2007 - 01/22/2009 CUNA BROKERAGE SERVICES, INC. (CRD#:13941) SANTA ANA, CA
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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.