Samuel L. Chi
Professional summary
Samuel Leon Chi, who also goes by Samuel L Chi, Samy Chi, Samuel L Dhi, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in El Segundo, California and CETERA WEALTH SERVICES, LLC located in El Segundo, California.
Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Samuel has worked at 14 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Samuel Leon Chi's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245October 24, 2007 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245February 9, 2024 - Present
CETERA ADVISORS LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245December 3, 2007 - June 29, 2023
CETERA WEALTH SERVICES, LLC
February 18, 2005 - October 23, 2007
WAMU INVESTMENTS, INC.
February 18, 2005 - October 23, 2007
WAMU INVESTMENTS, INC.
October 18, 2004 - February 17, 2005
CITICORP INVESTMENT SERVICES
January 9, 2004 - February 17, 2005
CITICORP INVESTMENT SERVICES
June 20, 2002 - January 6, 2004
SECU BROKERAGE SERVICES
June 27, 2001 - June 19, 2002
INVEST FINANCIAL CORPORATION
February 8, 1996 - June 26, 2001
IFMG SECURITIES, INC.
October 13, 1995 - November 15, 1995
ESSEX NATIONAL SECURITIES, LLC
October 10, 1995 - February 9, 1996
FIRST INTERSTATE INVESTMENTS,INC.
April 7, 1995 - October 5, 1995
FIMCO SECURITIES GROUP, INC.
October 15, 1992 - March 16, 1995
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
July 6, 1990 - October 16, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
July 6, 1990 - October 16, 1991
PRUCO SECURITIES, 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
(10/24/2007)
(6/29/2023)
Exams
Series 52TO
Date: 2/9/2024
Municipal Securities Representative ExaminationFINRA
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.
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