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Detailed Report
Leilei Chen
CRD#: 6350253
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 135 N Los Robles Ave
Pasadena, CA 91101
CETERA INVESTMENT SERVICES LLCCRD#: 15340 135 N LOS ROBLES AVENUE
PASADENA, CA 91101
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2015 - 2017 (2 years)2 FIRMS2017 - 2019 (1 year)2 FIRMS2019 - 2019 (<1 year)2 FIRMS2019 - Present (5 years)
License(s)

State Registrations

B
California 11/4/2019
IA
California 11/4/2019

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)
135 N Los Robles Ave, Pasadena, CA 91101
Registered with this firm since 11/4/2019
B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
135 N LOS ROBLES AVENUE, PASADENA, CA 91101
Registered with this firm since 11/4/2019
Previous Registration(s)
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IA
 01/10/2019 - 07/11/2019 MORGAN STANLEY (CRD#:149777) PASADENA, CA
B
 01/10/2019 - 07/11/2019 MORGAN STANLEY (CRD#:149777) PASADENA, CA
IA
 10/17/2017 - 01/03/2019 J.P. MORGAN SECURITIES LLC (CRD#:79) SAN MARINO, CA
B
 10/17/2017 - 01/03/2019 J.P. MORGAN SECURITIES LLC (CRD#:79) SAN MARINO, CA
IA
 07/13/2015 - 07/13/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LOS ANGELES, CA
B
 03/23/2015 - 07/13/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LOS ANGELES, 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.