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Detailed Report
Joan Tsuei
CRD#: 6903040
IA
Investment Adviser
B
Broker
COOPER MCMANUSCRD#: 111458 9870 RESEARCH DRIVE
IRVINE, CA 92618
CAMBRIDGE INVESTMENT RESEARCH, INC.CRD#: 39543 9870 Research Dr.
Irvine, CA 92618
Registration History
201920202021202220232024202520262 FIRMS2019 - 2024 (5 years)2 FIRMS2024 - Present (<1 year)
License(s)

State Registrations

B
Arizona 11/13/2024
B
Nevada 11/13/2024
B
California 11/13/2024
B
New Hampshire 11/13/2024
IA
California 11/13/2024
B
New Jersey 11/13/2024
B
Colorado 11/13/2024
B
New York 11/13/2024
B
Connecticut 11/13/2024
B
North Carolina 11/13/2024
B
District of Columbia 11/13/2024
B
Oklahoma 11/13/2024
B
Florida 11/13/2024
B
Oregon 11/13/2024
B
Georgia 11/13/2024
B
Pennsylvania 11/13/2024
B
Hawaii 11/13/2024
B
South Carolina 11/13/2024
B
Idaho 11/13/2024
B
South Dakota 11/13/2024
B
Illinois 11/13/2024
B
Tennessee 11/13/2024
B
Maine 11/13/2024
B
Texas 11/13/2024
B
Maryland 11/13/2024
B
Utah 11/13/2024
B
Massachusetts 11/13/2024
B
Virginia 11/13/2024
B
Michigan 11/13/2024
B
Washington 11/13/2024
B
Minnesota 11/13/2024
B
West Virginia 11/13/2024

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)
B
CAMBRIDGE INVESTMENT RESEARCH, INC. (CRD#:39543)
9870 Research Dr., Irvine, CA 92618
Los Angeles, CA
Registered with this firm since 11/13/2024
IA
COOPER MCMANUS (CRD#:111458)
9870 RESEARCH DRIVE, IRVINE, CA 92618
Registered with this firm since 11/13/2024
Previous Registration(s)
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IA
 10/31/2019 - 11/19/2024 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LOS ANGELES, CA
B
 09/16/2019 - 11/19/2024 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.