Fwu-chian Tsai
CETERA INVESTMENT ADVISERS LLC
SAN GABRIEL, CA 91776
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CRD#: 4312662
Professional summary
Fwu-chian Tsai, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in San Gabriel, California and CETERA FINANCIAL SPECIALISTS LLC located in San Gabriel, California.
Fwu-chian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Fwu-chian has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Do you have an area of expertise or specialization?
Budget & Debt Management
Comprehensive Financial Planni...
Attending College
401(k)/403(b)/IRAs
Buying a Home
Charitable & Planned Giving
Annuities
Asset Allocation
Cross-border Planning
Career Change
Business Taxes
Estate Planning
Investment Management
Limited Partnerships
Employee Benefits
Mutual Funds
Irregular Income
Insurance
Real Estate
Retirement
Stocks & Bonds
Life Planning
Startup
Succession Planning
Starting a Family
Long-term Care
Sudden Wealth
Personal Taxes
Women's Finances
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) ETCI-351 S. GREENWOOD AVE, PASEDENA, CA 91107 MARKET CONSULTING FIRM-PRESIDENT SINCE 99-20 HR/MO-I PROVIDE THE CONSULTING SERVICES-THE BUSINESS IS NOT INVESTMENT RELATED. 2 )NAME OF OTHER BUSINESS: LOTUS ACCOUNTANCY COMPANY ; INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: CPA FIRM ; START DATE: 01/1991 ; POSITION/TITLE/RELATIONSHIP: OWNER / CPA APX NUMBER OF HOURS PER WEEK: 50 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: BOOKKEEPING, TAX PREPARATION, CONSULTATION ON BUSINESS MANAGEMENT, ACCOUNTING SOFTWARE TRAINING, AND TAX PLANNING . LIMITED POWER OF ATTORNEY FOR IRS AND OTHER TAX MATTERS ; 3) REAL ESTATE BROKER & MORTGAGE LOAN AGENT-SOLE OWNER SINCE 03-5HR/WK; 4)HEALTH INS-OWNER SINCE 03-INSURANCE-1/4HR/WK.; 5) EL MIRAGE INVESTMENT LLC, INVESTOR IN REAL ESTATE, HACIENDA HEIGHTS, CA 4) NAME OF OTHER BUSINESS: EL MIRAGE, LLC, INVESTMENT RELATED: NO, ADDRESS: 3113 AZARIA AVE, HACIENDA HEIGHTS, CA, 91745 NATURE OF BUSINESS: REAL ESTATE, START DATE: 05/2007, POSITION/TITLE/RELATIONSHIP: INVESTOR/PARTNER, LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: PART OWNER OF VACANT LOT;
CRS (Client Relationship Summary) - RIA
Click below to view Fwu-chian Tsai's 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®
Experience
Current
May 28, 2004 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 405 S. San Gabriel Blvd #f, San Gabriel, CA 91776RIA
CRD#: 105644
SAN GABRIEL, CA
Current
June 2, 2004 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 405 S. San Gabriel Blvd #f, San Gabriel, CA 91776BD
CRD#: 10358
San Gabriel, CA
Past
July 30, 2001 - November 1, 2004
HOCHMAN & BAKER INVESTMENT ADVISORY SERVICES, INC.
RIA
CRD#: 105560
ROSEMEAD, CA
Past
January 2, 2001 - September 15, 2004
HOCHMAN & BAKER SECURITIES, INC.
BD
CRD#: 19949
STAMFORD, CT
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
IAR
California(5/28/2004)
RR
California(6/2/2004)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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)Upgrade to AdvisorCheck Premium
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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)
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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644San Gabriel, CA 91776TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
