Edward C. Yoon

CETERA INVESTMENT ADVISERS LLC

RANCHO CUCAMONGA, CA 91730

Some features on this profile are disabled

CRD#: 2408137

Professional summary

Edward C Yoon, AIF®, who also goes by Edward Chong Yoon, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Rancho Cucamonga, California and CETERA ADVISORS LLC located in Pasadena, California.

Edward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Edward has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Edward Chong Yoon

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.) HARVEST FINANCIAL, LLC; OTHER; START DATE: 1/2/2008 2.) TSE REALTY AND MANAGEMENT; REAL ESTATE;(AGENT); START DATE: 3/27/2008 3.) HARVEST FINANCIAL; INSTRUCTOR; EDUCATION; START DATE 02/26/2014; 24 HOURS PER WEEK. 4.) HARVEST FINANCIAL; AGENT; INSURANCE; START DATE 08/26/2016; 40 HOURS PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Edward C Yoon'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

November 12, 2020 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 9431 Haven Avenue Ste#118, Rancho Cucamonga, CA 91730Office #2: 199 S Los Robles Ave Suite 230, Pasadena, CA 91101

RIA

CRD#: 105644

RANCHO CUCAMONGA, CA

Current

September 8, 2022 - Present

CETERA ADVISORS LLC

Office #1: 199 S Los Robles Ave Suite 230, Pasadena, CA 91101Office #2: 9431 Haven Avenue Suite 118, Rancho Cucamonga, CA 91730

CRD#: 10299

PASADENA, CA

Past

July 2, 2012 - November 12, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

PASADENA, CA

Past

January 25, 2008 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

PASADENA, CA

Past

November 28, 2007 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

PASADENA, CA

Past

June 12, 2000 - December 20, 2005

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SEATTLE, WA

Past

May 19, 2000 - December 20, 2005

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

May 7, 1998 - May 22, 2000

D.A. DAVIDSON & CO.

CRD#: 199

GREAT FALLS, MT

Past

January 12, 1996 - May 28, 1998

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

March 22, 1995 - January 24, 1996

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

April 8, 1994 - April 8, 1995

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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

Arizona
(9/8/2022)

IAR

California
(11/12/2020)

California
(9/8/2022)

Colorado
(9/8/2022)

Florida
(9/8/2022)

Idaho
(9/8/2022)

Illinois
(9/8/2022)

Nevada
(9/8/2022)

New York
(9/8/2022)

Oregon
(9/8/2022)

Pennsylvania
(9/8/2022)

Tennessee
(9/8/2022)

IAR

Texas
(5/12/2022)

Texas
(9/8/2022)

Utah
(9/8/2022)

Washington
(9/8/2022)

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: 9/22/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/26/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/7/1994

General Securities 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Ryan Perry

FALCON WEALTH PLANNING, INC.

IAR

ONTARIO, CA

Gabriel Shahin

FALCON WEALTH PLANNING, INC.

IAR

ONTARIO, CA

Quinn Carranza

FALCON WEALTH PLANNING, INC.

IAR

ONTARIO, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Edward C. Yoon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Edward C Yoon's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

D.A. DAVIDSON & CO.

PIPER SANDLER & CO.

PRUDENTIAL EQUITY GROUP, LLC

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/22/1995

Series 63

Date: 8/26/1994

SIE

Date: 10/1/2018

Series 7

Date: 4/7/1994

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

Similar Advisors