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Detailed Report
TAEHOON GANG
CRD#: 5393976
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 155 NORTH LAKE AVENUE
SUITE 430
PASADENA, CA 91101
CETERA INVESTMENT SERVICES LLCCRD#: 15340 155 NORTH LAKE AVENUE
SUITE 430
PASADENA, CA 91101
Registration History
20082010201220142016201820202022202420262 FIRMS2012 - 2015 (3 years)2 FIRMS2015 - 2017 (1 year)2 FIRMS2017 - 2021 (4 years)2 FIRMS2021 - Present (3 years)BAXA ADVISORS, LLC (CRD# 6627)2010 - 2012 (1 year)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2008 - 2010 (1 year)IAAXA ADVISORS, LLC (CRD# 6627)2011 - 2012 (<1 year)
License(s)

State Registrations

B
Arizona 3/24/2022
B
Maine 10/4/2022
B
California 12/20/2021
B
Maryland 1/14/2022
IA
California 12/20/2021
B
Nevada 4/7/2022
B
Connecticut 1/28/2022
B
North Carolina 1/14/2022
B
Florida 2/27/2025
B
Oklahoma 1/14/2022
B
Georgia 3/8/2024
B
Oregon 1/28/2022
B
Hawaii 11/20/2023
B
Texas 4/12/2022
B
Illinois 11/20/2023
IA
Texas 1/24/2023
B
Iowa 2/8/2022
B
Washington 11/20/2023
B
Kentucky 1/14/2022
B
Wisconsin 1/28/2022

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)
155 NORTH LAKE AVENUE SUITE 430, PASADENA, CA 91101
Registered with this firm since 12/20/2021
B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
155 NORTH LAKE AVENUE SUITE 430, PASADENA, CA 91101
Registered with this firm since 12/20/2021
Previous Registration(s)
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IA
 03/25/2017 - 12/20/2021 MML INVESTORS SERVICES, LLC (CRD#:10409) Los Angeles, CA
B
 03/25/2017 - 12/20/2021 MML INVESTORS SERVICES, LLC (CRD#:10409) Los Angeles, CA
IA
 08/28/2015 - 03/25/2017 MSI FINANCIAL SERVICES, INC. (CRD#:14251) Los Angeles, CA
B
 08/28/2015 - 03/25/2017 MSI FINANCIAL SERVICES, INC. (CRD#:14251) Los Angeles, CA
IA
 02/21/2012 - 09/11/2015 HSBC SECURITIES (USA) INC. (CRD#:19585) LOS ANGELES, CA
B
 02/21/2012 - 09/11/2015 HSBC SECURITIES (USA) INC. (CRD#:19585) LOS ANGELES, CA
IA
 03/14/2011 - 02/16/2012 AXA ADVISORS, LLC (CRD#:6627) LOS ANGELES, CA
B
 12/07/2010 - 02/16/2012 AXA ADVISORS, LLC (CRD#:6627) LOS ANGELES, CA
B
 10/03/2008 - 05/13/2010 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) GLENDALE, 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.