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OT

Oliver Y. Tao

CETERA INVESTMENT ADVISERS LLC
PASADENA, CA 91101
Some features on this profile are disabled
CRD#: 4080805
OT

Professional summary

Oliver Y Tao is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Pasadena, California and CETERA INVESTMENT SERVICES LLC located in Pasadena, California.

Oliver is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Oliver has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

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.
1. RENTAL PROPERTY 2. VOLUNTEER COACH LITTLE LEAGUE BASEBALL, 4-5 HRS/WK;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Oliver Y Tao'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®
None

Experience

Current

January 21, 2014 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 135 N Los Robles Avenue 2nd Floor, Pasadena, CA 91101
RIA
CRD#: 105644
PASADENA, CA
Current

June 10, 2013 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 135 N Los Robles Avenue, Pasadena, CA 91101Office #2: 19540 Jamboree Road Suite 150, Irvine, CA 92612Office #3: 9090 Katy Freeway, Houston, TX 77024Office #4: 20607-1 Amar Road, Walnut, CA 91789Office #5: 805 Huntington Dr, San Marino, CA 91108Office #6: 2808 Milam, Houston, TX 77006Office #7: 5801 8th Ave, Brooklyn, NY 11220Office #8: 4299 Rosewood Dr Unit 108, Pleasanton, CA 94588Office #9: 9378 Wilshire Blvd, Beverly Hills, CA 90212Office #10: 624 S Grand Ave, Los Angeles, CA 90017Office #11: 19625 Stevens Creek Blvd, Cupertino, CA 95014
BD
CRD#: 15340
Pasadena, CA
Past

June 10, 2013 - January 21, 2014

CETERA INVESTMENT SERVICES LLC

RIA
CRD#: 15340
PASADENA, CA
Past

November 9, 2012 - May 31, 2013

CETERA INVESTMENT SERVICES LLC

RIA
CRD#: 15340
EL MONTE, CA
Past

November 9, 2012 - May 31, 2013

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
EL MONTE, CA
Past

March 3, 2011 - November 16, 2012

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
SEAL BEACH, CA
Past

January 3, 2011 - November 16, 2012

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
SEAL BEACH, CA
Past

May 2, 2009 - May 15, 2009

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
IRVINE, CA
Past

May 2, 2009 - May 15, 2009

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
IRVINE, CA
Past

November 19, 2008 - May 2, 2009

WAMU INVESTMENTS, INC.

RIA
CRD#: 599
IRVINE, CA
Past

August 21, 2008 - May 2, 2009

WAMU INVESTMENTS, INC.

BD
CRD#: 599
IRVINE, CA
Past

April 27, 2001 - December 19, 2007

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

December 10, 1999 - October 17, 2000

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ

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.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
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

RR
California
(6/10/2013)
IAR
California
(1/21/2014)
RR
Massachusetts
(11/10/2023)
RR
Nevada
(10/16/2017)
IAR
New York
(3/31/2021)
RR
New York
(3/31/2022)
RR
Texas
(2/19/2014)
IAR
Texas
(1/12/2023)
RR
Washington
(5/8/2015)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/18/2008
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/17/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/10/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/9/1999
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/6/2009
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/6/2008
General Securities Principal Examination
SRO Registrations
RR
FINRA

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#: 105644Pasadena, CA 91101

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