Peter Y. Hong

CETERA INVESTMENT ADVISERS LLC

SAN FRANCISCO, CA 94111

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CRD#: 2519672

Professional summary

Peter Yan Hong, CFP®, who also goes by Hung Yan, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in San Francisco, California and CETERA INVESTMENT SERVICES LLC located in San Francisco, California.

Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Peter has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Hung Yan

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.

EAST WEST BANK - SUPERVISING FA'S, RECRUITING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Yan Hong'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®

CFP^®

Certified Financial Planner

Experience

Current

September 13, 2018 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 555 Montgomery St, San Francisco, CA 94111

RIA

CRD#: 105644

SAN FRANCISCO, CA

Current

September 13, 2018 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 555 Montgomery St, San Francisco, CA 94111

CRD#: 15340

San Francisco, CA

Past

October 31, 2012 - October 2, 2018

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SAN FRANCISCO, CA

Past

October 31, 2012 - October 2, 2018

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SAN FRANCISCO, CA

Past

August 22, 2007 - August 9, 2012

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

WEST PALM BEACH, FL

Past

August 22, 2007 - August 9, 2012

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

WEST PALM BEACH, FL

Past

May 29, 2007 - August 27, 2007

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

MONROVIA, CA

Past

May 29, 2007 - August 27, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

MONROVIA, CA

Past

June 4, 2002 - May 29, 2007

CITICORP INVESTMENT SERVICES

RIA

CRD#: 23988

MONROVIA, CA

Past

February 1, 2001 - May 29, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

MONROVIA, CA

Past

June 13, 2000 - February 2, 2001

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

August 26, 1997 - June 2, 2000

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

September 6, 1994 - August 29, 1997

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

September 6, 1994 - August 29, 1997

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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
(9/13/2018)

IAR

California
(9/13/2018)

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: 6/28/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/9/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 4/25/2008

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/2/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/27/2003

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/24/2003

General Securities Sales Supervisor - Options Module 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

Peter Y. Hong

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Yan Hong's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

WAMU INVESTMENTS, INC.

CITICORP INVESTMENT SERVICES

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/28/2001

Series 63

Date: 9/9/1994

SIE

Date: 10/1/2018

Series 31

Date: 4/25/2008

Series 7

Date: 9/2/1994

Series 10

Date: 1/27/2003

Series 9

Date: 1/24/2003

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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