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EQ

Earl Quon

Some features on this profile are disabled
CRD#: 3278125
EQ

Professional summary

Earl Quon was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Earl is a previously registered financial professional and started their career in finance in 2002. Prior to being barred, Earl had worked at 7 firms, which includes CETERA INVESTMENT ADVISERS LLC, CETERA INVESTMENT SERVICES LLC, MML INVESTORS SERVICES LLC, MSI FINANCIAL SERVICES INC., NEW ENGLAND SECURITIES, UBS FINANCIAL SERVICES INC., MORGAN STANLEY.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 20, 2018 - July 9, 2020

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
HONOLULU, HI
Past

November 20, 2018 - July 9, 2020

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
KIHEI, HI
Past

March 25, 2017 - November 20, 2018

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
SAN RAMON, CA
Past

March 25, 2017 - November 20, 2018

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SAN RAMON, CA
Past

February 18, 2016 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
WALNUT CREEK, CA
Past

August 20, 2014 - January 2, 2015

NEW ENGLAND SECURITIES

BD
CRD#: 615
WALNUT CREEK, CA
Past

August 6, 2014 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
WALNUT CREEK, CA
Past

February 6, 2013 - August 6, 2014

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
WALNUT CREEK, CA
Past

February 6, 2013 - August 6, 2014

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WALNUT CREEK, CA
Past

February 23, 2010 - February 27, 2013

MORGAN STANLEY

RIA
CRD#: 149777
PALO ALTO, CA
Past

February 23, 2010 - February 27, 2013

MORGAN STANLEY

BD
CRD#: 149777
PALO ALTO, CA
Past

February 4, 2004 - February 17, 2010

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
LOS ANGELES, CA
Past

April 18, 2002 - February 17, 2010

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
LOS ANGELES, CA

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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/5/2003
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 1/9/2006
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 4/17/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 6/28/2005
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 6/15/2005
General Securities Sales Supervisor - General Module Examination

Current Firm

CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644

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