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HUNG-EN LAI
HUNG E LAI, HUNG EN LAI, HUNG M LAI, MICHAEL H LAI
CRD#: 5610027
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 801 S FIGUEROA ST
LOS ANGELES, CA 90017
LOS ANGELES, CA 90017
CETERA INVESTMENT SERVICES LLCCRD#: 15340 5408 Walnut Ave, Unit D
Irvine, CA 92604
Irvine, CA 92604
0
Disclosures
16
Years of Experience
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State Registrations
B
California 4/13/2022
B
New Jersey 4/13/2022
IA
California 4/13/2022
B
New York 4/13/2022
B
Illinois 9/24/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 4/13/2022
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Registered with this firm since 4/13/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/18/2014 - 04/04/2022 | PASADENA, CA | |
B | 02/18/2014 - 04/04/2022 | PASADENA, CA | |
IA | 12/04/2013 - 02/10/2014 | KATY, TX | |
B | 12/04/2013 - 02/10/2014 | KATY, TX | |
IA | 11/30/2012 - 12/05/2013 | HOUSTON, TX | |
B | 11/30/2012 - 12/05/2013 | HOUSTON, TX | |
IA | 10/01/2012 - 12/03/2012 | HOUSTON, TX | |
B | 10/01/2012 - 12/03/2012 | HOUSTON, TX | |
IA | 04/04/2011 - 10/01/2012 | HOUSTON, TX | |
B | 11/17/2008 - 10/01/2012 | HOUSTON, TX |
For additional information about investment advisers or broker-dealers, please visit
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.