Doo H. Hong

CETERA INVESTMENT ADVISERS LLC

PASADENA, CA 91101

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CRD#: 2855246

Professional summary

Doo Han Hong, CFP®, who also goes by David Hong, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Pasadena, California and CETERA INVESTMENT SERVICES LLC located in Pasadena, California.

Doo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Doo has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Hong

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. DOO HONG INSURANCE, HEALTH & MEDICARE INSURANCE, 100% OWNER, 5/HRS/WK; BOARD MEMBER OF HANGEUL CAMP USA INC, 1/HR/WK

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Doo Han 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

Start date: 2004

Experience

Current

July 7, 2022 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 155 North Lake Avenue Suite 430, Pasadena, CA 91101

RIA

CRD#: 105644

PASADENA, CA

Current

July 7, 2022 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 155 North Lake Avenue Suite 430, Pasadena, CA 91101

CRD#: 15340

Pasadena, CA

Past

March 25, 2017 - July 12, 2022

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

Los Angeles, CA

Past

March 25, 2017 - July 12, 2022

MML INVESTORS SERVICES, LLC

CRD#: 10409

Los Angeles, CA

Past

October 17, 2005 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

Los Angeles, CA

Past

September 7, 2005 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

LOS ANGELES, CA

Past

September 7, 2005 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

Los Angeles, CA

Past

June 11, 2002 - August 9, 2005

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

LOS ANGELES, CA

Past

October 3, 2001 - August 9, 2005

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

March 6, 1997 - September 28, 2001

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

March 6, 1997 - September 28, 2001

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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
(7/7/2022)

IAR

California
(7/7/2022)

Georgia
(6/23/2023)

Hawaii
(11/20/2023)

Illinois
(11/20/2023)

Minnesota
(9/18/2024)

New Jersey
(8/9/2024)

Texas
(11/20/2023)

IAR

Texas
(11/20/2023)

Washington
(11/20/2023)

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: 6/2/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/14/1997

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: 10/1/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/5/1997

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

Doo H. Hong

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Doo Han Hong's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/2/1999

Series 63

Date: 3/14/1997

SIE

Date: 10/1/2018

Series 7

Date: 10/1/1998

Series 6

Date: 3/5/1997

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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