Hans C. Medina

CETERA INVESTMENT ADVISERS LLC

MILILAN, HI 96789

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CRD#: 2371530

Professional summary

Hans Caparas Medina is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mililan, Hawaii and CETERA INVESTMENT SERVICES LLC located in Mililani, Hawaii.

Hans is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Hans has worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) SFG, LTD POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 32 SECURITIES TRADING HOURS: 32 START DATE: 03/01/2002 ADDRESS: 1585 Kapioloani Blvd #928, Honolulu HI 96814, United States DESCRIPTION: AGENT OF SFG, LTD. OFFERING INSURANCE SALES AND SERVICES (2) SFGA LLC POSITION: Agent/Representative NATURE: Outside Registered Investment Advisor/Outside IAR INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 09/23/2013 ADDRESS: 1585 Kapioloani Blvd #928, Honolulu HI 96814, United States DESCRIPTION: IAR OF SFGA LLC, A HAWAII STATE REGISTERED INVESTMENT ADVISOR OFFERING ADVISORY SERVICES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hans Caparas Medina'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®

None

Experience

Current

January 17, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 95-1095 Ainamakua Dr #9, Mililan, HI 96789

RIA

CRD#: 105644

MILILAN, HI

Current

January 17, 2025 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 95-1095 Ainamakua Dr. #9, Mililani, HI 96789

CRD#: 15340

Mililani, HI

Past

December 9, 2016 - January 17, 2025

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

Honolulu, HI

Past

January 7, 2014 - January 17, 2025

SHIRAISHI FINANCIAL GROUP ADVISORS

RIA

CRD#: 168645

HONOLULU, HI

Past

May 17, 2013 - November 13, 2014

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

RIA

CRD#: 20804

HONOLULU, HI

Past

May 17, 2013 - December 9, 2016

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

HONOLULU, HI

Past

January 23, 2009 - May 8, 2013

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

HONOLULU, HI

Past

January 23, 2009 - May 8, 2013

SECURITIES AMERICA, INC.

CRD#: 10205

HONOLULU, HI

Past

November 20, 2008 - January 23, 2009

BRECEK & YOUNG ADVISORS, INC.

RIA

CRD#: 40395

HONOLULU, HI

Past

January 10, 2008 - January 23, 2009

BRECEK & YOUNG ADVISORS, INC.

CRD#: 40395

HONOLULU, HI

Past

April 17, 2002 - January 10, 2008

LPL FINANCIAL LLC

CRD#: 6413

HONOLULU, HI

Past

January 7, 2000 - March 19, 2002

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

July 16, 1997 - December 31, 1997

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

Past

November 9, 1995 - December 31, 1996

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

Past

August 25, 1993 - March 15, 1994

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

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

California
(2/6/2025)

Hawaii
(1/17/2025)

IAR

Hawaii
(1/17/2025)

Washington
(2/6/2025)

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

IAR

Series 65

Date: 11/18/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/2/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 8/7/1993

Investment Company Products/Variable Contracts 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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Advisor Monitoring

Firm Stability Insights

Hans C. Medina

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hans Caparas Medina's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

INDEPENDENT FINANCIAL GROUP, LLC

SHIRAISHI FINANCIAL GROUP ADVISORS

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

BRECEK & YOUNG ADVISORS, INC.

BRECEK & YOUNG ADVISORS, INC.

LPL FINANCIAL LLC

CETERA WEALTH SERVICES, LLC

WMA SECURITIES, INC.

WMA SECURITIES, INC.

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/18/2008

Series 63

Date: 10/2/1993

SIE

Date: 10/1/2018

Series 6

Date: 8/7/1993

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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