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Detailed Report
DAN LIU
Stephy Liu
CRD#: 6974180
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 135 N Los Robles Avenue 2nd Floor
Pasadena, CA 91101
CETERA INVESTMENT SERVICES LLCCRD#: 15340 135 N LOS ROBLES AVENUE
PASADENA, CA 91101
Registration History
201820192020202120222023202420252026IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2023 - Present (2 years)BCETERA INVESTMENT SERVICES LLC (CRD# 15340)2022 - Present (3 years)BHSBC SECURITIES (USA) INC. (CRD# 19585)2018 - 2022 (3 years)
License(s)

State Registrations

B
California 4/14/2022
IA
California 1/17/2023

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 Avenue 2nd Floor, Pasadena, CA 91101
Registered with this firm since 1/17/2023
B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
135 N LOS ROBLES AVENUE, PASADENA, CA 91101
Registered with this firm since 4/14/2022
Previous Registration(s)
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B
 10/02/2018 - 04/11/2022 HSBC SECURITIES (USA) INC. (CRD#:19585) SAN GABRIEL, 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.