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TONY CHANG TA YU
TONY CHANG TU YU
CRD#: 6102466
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 9600 BELLAIRE BLVD
HOUSTON, TX 77036
HOUSTON, TX 77036
CETERA INVESTMENT SERVICES LLCCRD#: 15340 9600 BELLAIRE BLVD
HOUSTON, TX 77036
HOUSTON, TX 77036
0
Disclosures
12
Years of Experience
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State Registrations
B
Florida 3/17/2022
B
Texas 5/23/2018
B
Pennsylvania 3/24/2021
IA
Texas 5/23/2018
SRO Registrations
B
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IA
Registered with this firm since 5/23/2018
B
Registered with this firm since 5/23/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/30/2015 - 05/24/2018 | HOUSTON, TX | |
B | 10/01/2012 - 05/24/2018 | HOUSTON, TX | |
B | 09/25/2012 - 10/01/2012 | HOUSTON, TX |
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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.