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Detailed Report
JIA NI
Jonathan Ni
CRD#: 7037964
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 135 N LOS ROBLES AVE 2ND FL
PASADENA, CA 91101
CETERA INVESTMENT SERVICES LLCCRD#: 15340 135 N LOS ROBLES AVENUE
PASADENA, CA 91101
Registration History
201920202021202220232024202520262 FIRMS2022 - 2023 (<1 year)2 FIRMS2023 - Present (1 year)BHSBC SECURITIES (USA) INC. (CRD# 19585)2019 - 2022 (3 years)IAHSBC SECURITIES (USA) INC. (CRD# 19585)2022 - 2022 (<1 year)
License(s)

State Registrations

B
California 5/26/2023
IA
California 5/26/2023

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 AVE 2ND FL, PASADENA, CA 91101
Registered with this firm since 5/26/2023
B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
135 N LOS ROBLES AVENUE, PASADENA, CA 91101
Registered with this firm since 5/26/2023
Previous Registration(s)
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IA
 08/15/2022 - 05/23/2023 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PASADENA, CA
B
 08/15/2022 - 05/23/2023 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PASADENA, CA
IA
 06/07/2022 - 08/03/2022 HSBC SECURITIES (USA) INC. (CRD#:19585) SAN GABRIEL, CA
B
 01/28/2019 - 08/03/2022 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.