Individual Firm
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JOON M BAEK
CRD#: 5722195
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 155 LAKE AVENUE NORTH
SUITE 430
PASADENA, CA 91101
SUITE 430
PASADENA, CA 91101
CETERA INVESTMENT SERVICES LLCCRD#: 15340 155 NORTH LAKE AVENUE
SUITE 430
PASADENA, CA 91101
SUITE 430
PASADENA, CA 91101
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11/19/2013
Customer Dispute
Denied
State Registrations
B
California 12/20/2021
B
Illinois 11/20/2023
IA
California 12/20/2021
B
New York 12/20/2021
B
Florida 4/22/2024
B
Texas 12/20/2021
B
Georgia 3/8/2024
IA
Texas 12/20/2021
B
Hawaii 11/20/2023
B
Washington 12/20/2021
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 12/20/2021
B
Registered with this firm since 12/20/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/25/2017 - 12/21/2021 | Los Angeles, CA | |
B | 03/25/2017 - 12/21/2021 | Los Angeles, CA | |
IA | 12/18/2015 - 03/25/2017 | Los Angeles, CA | |
B | 12/18/2015 - 03/25/2017 | Los Angeles, CA | |
IA | 01/10/2013 - 12/28/2015 | LOS ANGELES, CA | |
B | 11/15/2011 - 12/28/2015 | LOS ANGELES, CA |
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.