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MS

Mee Sook H. Sonu

Some features on this profile are disabled
CRD#: 2037582
MS

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.

Mee Sook Han Sonu, CFP®, who also goes by Mee S Sonu, Meesook Han Sonu, Michelle H Sonu, was a registered financial professional .

Mee Sook is a previously registered financial professional and started their career in finance in 1990. Mee Sook had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mee S Sonu | Meesook Han Sonu | Michelle H Sonu

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Start date: 2006

Experience

Past

August 10, 2023 - February 3, 2026

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
DULUTH, GA
Past

August 10, 2023 - February 3, 2026

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
DULUTH, GA
Past

February 10, 2021 - August 10, 2023

SECURIAN FINANCIAL SERVICES, INC.

RIA
CRD#: 15296
Duluth, GA
Past

January 12, 2021 - August 10, 2023

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
Duluth, GA
Past

July 13, 2015 - January 23, 2020

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
LAWRENCEVILLE, GA
Past

April 24, 2015 - January 23, 2020

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
LAWRENCEVILLE, GA
Past

November 14, 2012 - February 4, 2015

NYLIFE SECURITIES LLC

BD
CRD#: 5167
DULUTH, GA
Past

June 6, 2008 - October 11, 2012

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
ATLANTA, GA
Past

June 3, 2008 - October 11, 2012

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
ATLANTA, GA
Past

March 17, 2003 - May 27, 2008

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
ATLANTA, GA
Past

July 22, 2002 - May 27, 2008

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
ATLANTA, GA
Past

March 21, 2001 - July 1, 2002

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
LINCOLN, NE
Past

May 23, 1991 - September 25, 1992

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
Past

May 23, 1991 - September 25, 1992

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
Past

May 14, 1990 - April 26, 1991

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
Past

May 14, 1990 - April 26, 1991

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627

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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/23/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/16/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/3/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/20/2001
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 8/28/2006
Investment Company Products/Variable Contracts Principal Examination

Current Firm

CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644

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