Benjamin Y. Wong

CETERA INVESTMENT ADVISERS LLC

WALNUT CREEK, CA 94596-8820

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CRD#: 1597846

Professional summary

Benjamin Yau Cheung Wong, CFP®, who also goes by Ben Wong, Benjamin Y Wong, Yau Cheung Wong, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Walnut Creek, California and CETERA WEALTH SERVICES, LLC located in Walnut Creek, California.

Benjamin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Benjamin has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ben Wong | Benjamin Y Wong | Yau Cheung Wong

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) VARIOUS INSURANCE COMPANIES, INSURANCE, REPRESENTATIVE - SELLS FIXED INSURANCE - LIFE, HEALTH, ANNUITIES AND LTC; 2) THE PACIFIC CENTER FOR FINANCIAL SERVICES, FINANCIAL SERVICES AND INVESTMENT ADVISORY SERVICES, 2000 CROW CANYON PLACE, SUITE 430, SAN RAMON, CA 94583 3) NAME OF OTHER BUSINESS: N/A ; INVESTMENT RELATED: NO ; ADDRESS: 3102 LAKEMONT DR. SAN RAMON, CA 94585 ; NATURE OF BUSINESS: RENTAL PROPERTY ; START DATE: 08/2007 ; POSITION/TITLE/RELATIONSHIP: OWNER ; APX NUMBER OF HOURS PER WEEK: VARIES ; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES ; BRIEF DESCRIPTION OF DUTIES: PROPERTY OWNER THAT IS LEASED TO A TENANT ;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Yau Cheung Wong's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1600 S Main St Ste 202, Walnut Creek, CA 94596-8820

RIA

CRD#: 105644

WALNUT CREEK, CA

Current

January 15, 1997 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 185 Lennon Lane Ste.210, Walnut Creek, CA 94598

CRD#: 13572

Walnut Creek, CA

Past

February 21, 2002 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

SAN RAMON, CA

Past

June 18, 1999 - September 1, 2022

THE PACIFIC CENTER FOR FINANCIAL SERVICES

RIA

CRD#: 104557

Walnut Creek, CA

Past

November 1, 1995 - January 24, 1997

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

June 14, 1991 - November 21, 1995

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

January 9, 1990 - June 20, 1991

HERRMANN SECURITIES, INC.

CRD#: 17703

Past

November 15, 1989 - January 17, 1990

CYPRESS CAPITAL CORPORATION

CRD#: 7919

Past

August 3, 1989 - November 15, 1989

HERRMANN SECURITIES, INC.

CRD#: 17703

Past

December 24, 1987 - August 11, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

January 21, 1987 - December 24, 1987

FINANCIAL PLANNERS EQUITY CORPORATION

CRD#: 7420

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(10/12/1999)

California
(1/17/1997)

IAR

California
(6/29/2023)

Missouri
(6/18/2019)

Oregon
(1/4/2006)

Tennessee
(1/3/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 4/3/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/17/1987

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Benjamin Y. Wong

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Yau Cheung Wong's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

THE PACIFIC CENTER FOR FINANCIAL SERVICES

OSAIC WEALTH, INC.

CETERA WEALTH SERVICES, LLC

HERRMANN SECURITIES, INC.

CYPRESS CAPITAL CORPORATION

HERRMANN SECURITIES, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

FINANCIAL PLANNERS EQUITY CORPORATION

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/3/1996

SIE

Date: 10/1/2018

Series 7

Date: 1/17/1987

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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