Ching-yun L. Fang
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ching-yun Linda Fang, who also goes by Ching Yun Linda Fang, Chingyun Linda Fang, Ching Yun Ni, Ching Yun Linda Ni, Chingyun Linda Ni, Linda C Ni, Linda Ni, was a registered financial professional .
Ching-yun is a previously registered financial professional and started their career in finance in 1990. Ching-yun had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2015 - May 23, 2018
CETERA INVESTMENT ADVISERS LLC
March 11, 2015 - May 23, 2018
CETERA INVESTMENT SERVICES LLC
June 17, 2014 - January 27, 2015
BANCWEST INVESTMENT SERVICES, INC.
April 30, 2014 - January 27, 2015
BANCWEST INVESTMENT SERVICES, INC.
November 5, 2012 - March 12, 2013
HSBC SECURITIES (USA) INC.
December 12, 2006 - October 23, 2009
ETECH SECURITIES, INC.
March 1, 2004 - September 1, 2005
U.S. BANCORP ADVISORS, LLC
March 1, 2004 - September 1, 2005
U.S. BANCORP ADVISORS, LLC
January 3, 2003 - May 5, 2003
WELLS FARGO INVESTMENTS, LLC
January 3, 2003 - May 5, 2003
WELLS FARGO INVESTMENTS, LLC
July 12, 1999 - December 18, 2002
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 12, 1998 - December 18, 2002
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 14, 1997 - July 12, 1999
BA INVESTMENT SERVICES, INC.
June 1, 1995 - November 16, 1995
ESSEX NATIONAL SECURITIES, LLC
May 11, 1995 - November 10, 1995
FIRST INTERSTATE INVESTMENTS,INC.
September 3, 1993 - May 11, 1995
BA INVESTMENT SERVICES, INC.
June 16, 1992 - August 26, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 13, 1990 - November 8, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Exams
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.
