PC
Philip F. Chao
CETERA INVESTMENT ADVISERS LLC
PATTERSON, CA
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CRD#: 4568140
PC
Professional summary
Philip Fu-pei Chao, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Patterson, California and CETERA WEALTH SERVICES, LLC located in Patterson, California.
Philip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Philip has worked at 5 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
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) NAME OF ENTITY: Fortune Financial; Yes; 1459 PHLOX DR; PATTERSON; CA; 95363; FINANCIAL SERVICES/DBA; OWNER; 3/16/2012; 160; 160; SALE AND SERVICE INSURANCE, SECURITIES AND INVESTMENT PRODUCTS| 2) NAME OF ENTITY: Philip Chao - Rental Property; No; 1459 PHLOX DR; PATTERSON; CA; 95363; Rental Property; Husband of Owner; 10/1/2015; 0; 0; None- Wife is sole owner of property and all compensation goes to her.| 3) NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 1459 PHLOX DR; PATTERSON; CA; 95363; fixed insurance sales; independent insurance agent; 3/5/2009; 32; 32; sales of fixed insurance products| 4) NAME OF OTHER BUSINESS: AXSOME; INVESTMENT RELATED: NO; ADDRESS: 22 CORTLANDT ST 16TH FLOOR NEW YORK, NY 10007; NATURE OF BUSINESS: PHARMACEUTICALS; START DATE: 9/2022; POSITION/TITLE/RELATIONSHIP: SALES MANAGER; APX NUMBER OF HOURS PER WEEK: 15-20; APX NUMBER OF HOURS DURING TRADING HOURS: 15-20; BRIEF DESCRIPTION OF DUTIES: SALES AMANAGER, PLAN FOR A SUCCESSFUL LAUNCH OF MEDICATION;
CRS (Client Relationship Summary) - RIA
Click below to view Philip Fu-pei Chao'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®
CFP®
Start date: 2005
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
PATTERSON, CA
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
PATTERSON, CA
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
June 15, 2006 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
PATTERSON, CA
Past
June 13, 2006 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
PATTERSON, CA
Past
August 27, 2004 - June 12, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CASTRO VALLEY, CA
Past
August 27, 2004 - June 12, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CASTRO VALLEY, CA
Past
April 14, 2003 - August 30, 2004
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
HAYWARD, CA
Past
September 20, 2002 - August 30, 2004
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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(6/9/2021)
IAR
California(6/29/2023)
RR
Idaho(1/10/2023)
RR
Nevada(10/2/2025)
RR
Texas(1/4/2024)
IAR
Texas(1/4/2024)
Exams
State Security Law Exam
General Industry/Product 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
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.
