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Courtney Huijuan Shan
Huijuan Shan
CRD#: 7241200
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 23211 HAWTHORNE BLVD #108
TORRANCE, CA 90505
CETERA INVESTMENT SERVICES LLCCRD#: 15340 23211 HAWTHORNE BLVD
#108
TORRANCE, CA 90505
Registration History
20202021202220232024202520262 FIRMS2020 - 2022 (1 year)2 FIRMS2022 - Present (2 years)
Disclosure(s)
View By:
3/9/2022
Employment Separation After Allegations
License(s)

State Registrations

B
California 4/28/2022

B
New York 1/8/2024

IA
California 4/28/2022

IA
Texas 12/4/2023

B
District of Columbia 3/13/2024

B
Texas 12/6/2023

B
Florida 12/4/2023

B
Utah 12/21/2023

B
Idaho 10/22/2024

B
Virginia 10/9/2024

B
Iowa 12/18/2023

B
Washington 5/3/2024

B
Nevada 1/2/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
23211 HAWTHORNE BLVD #108, TORRANCE, CA 90505
Registered with this firm since 4/28/2022

B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
23211 HAWTHORNE BLVD #108, TORRANCE, CA 90505
9055 LAS TUNAS DR SUITE 115, TEMPLE CITY, CA 91780
Registered with this firm since 4/27/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/20/2020 - 04/08/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) IRVINE, CA
B
08/24/2020 - 04/08/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) IRVINE, CA
For additional information about investment advisers or broker-dealers, please visit
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.