Sara Sun
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.
Sara Sun, who also goes by Sara Sun Huang, Sara Huang, Sara Shih-jung Sun, was a registered financial professional .
Sara is a previously registered financial professional and started their career in finance in 1995. Sara had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2014 - March 17, 2015
CETERA INVESTMENT ADVISERS LLC
January 29, 2013 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
January 29, 2013 - March 17, 2015
CETERA INVESTMENT SERVICES LLC
October 11, 2011 - January 30, 2013
LPL FINANCIAL LLC
October 11, 2011 - January 30, 2013
LPL FINANCIAL LLC
February 16, 2010 - October 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
February 12, 2010 - October 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
February 17, 2009 - February 18, 2010
LPL FINANCIAL LLC
February 17, 2009 - February 18, 2010
LPL FINANCIAL LLC
January 10, 2008 - February 18, 2009
UCB ASSET MANAGEMENT, INC.
January 18, 2007 - February 18, 2009
UCB INVESTMENT SERVICES, INC.
January 8, 2007 - February 18, 2009
UCB INVESTMENT SERVICES, INC.
April 6, 2006 - January 3, 2007
GRIFFINEST ASIA ASSET MANAGEMENT, LLC
April 6, 2006 - January 3, 2007
GRIFFINEST ASIA SECURITIES, LLC
July 2, 2001 - April 3, 2006
SINOPAC FINANCIAL SERVICES (USA) LTD.
February 14, 2000 - June 20, 2001
WMA SECURITIES, INC.
October 7, 1997 - April 2, 1999
BA INVESTMENT SERVICES, INC.
September 27, 1996 - September 24, 1997
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
December 11, 1995 - March 15, 1996
SUPPES SECURITIES, INC.
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
Exams
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
