William C. Tung
Professional summary
William Cheng Wu Tung, who also goes by Bill Tung, Cheng Wu Tung, William Cheng Tung, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Pasadena, California and CETERA INVESTMENT SERVICES LLC located in Pasadena, California.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. William has worked at 17 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53, Series 10, Series 9, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view William Cheng Wu Tung's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 5, 2018 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 135 N Los Robles Avenue 2nd Floor, Pasadena, CA 91101October 11, 2018 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 135 N Los Robles Avenue, Pasadena, CA 91101April 17, 2013 - April 11, 2018
U.S. BANCORP INVESTMENTS, INC.
April 8, 2013 - April 11, 2018
U.S. BANCORP INVESTMENTS, INC.
January 3, 2011 - November 7, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - November 7, 2011
WELLS FARGO CLEARING SERVICES, LLC
August 25, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
August 25, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
January 31, 2006 - March 24, 2008
WELLS FARGO INVESTMENTS, LLC
January 31, 2006 - March 24, 2008
WELLS FARGO INVESTMENTS, LLC
August 23, 2001 - January 19, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 15, 2001 - January 19, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 9, 1999 - August 2, 2001
CITICORP INVESTMENT SERVICES
April 6, 1998 - November 11, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 18, 1996 - April 10, 1998
CHASE INVESTMENT SERVICES CORP.
June 7, 1996 - September 18, 1996
CHEMICAL INVESTMENT SERVICES CORP.
July 22, 1994 - August 24, 1995
CHEMICAL INVESTMENT SERVICES CORP.
August 5, 1993 - August 1, 1994
IFMG SECURITIES, INC.
June 2, 1993 - August 18, 1993
FINANCIAL HORIZONS SECURITIES CORPORATION
October 30, 1992 - August 6, 1993
CITICORP INVESTMENT SERVICES
May 30, 1992 - August 27, 1993
BA INVESTMENT SERVICES, INC.
August 14, 1991 - June 30, 1992
CAPITAL BROKERAGE CORPORATION
October 2, 1990 - May 22, 1991
CAPITAL BROKERAGE CORPORATION
July 19, 1990 - August 10, 1990
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
August 9, 1989 - August 1, 1990
FINANCIAL HORIZONS SECURITIES CORPORATION
March 13, 1989 - August 24, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 13, 1989 - August 24, 1989
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/5/2018)
(10/11/2018)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 8
Date: 8/6/1998
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
