Fu Lin
Professional summary
Fu Lin, who also goes by Daphne Lin, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Rowland Heights, California and CETERA INVESTMENT SERVICES LLC located in Ontario, California.
Fu is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Fu has worked at 12 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Fu Lin's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 2, 2017 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 17432 Colima Rd, Rowland Heights, CA 91748October 2, 2017 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 2195 S Grove #b, Ontario, CA 91761Office #2: 17432 Colima Rd, Rowland Heights, CA 91748Office #3: 9759 Base Line Rd, Rancho Cucamonga, CA 91730Office #4: 2672 E Garvey Ave S, West Covina, CA 91791October 17, 2016 - September 29, 2017
ONEAMERICA SECURITIES, INC.
October 17, 2016 - September 29, 2017
ONEAMERICA SECURITIES, INC.
June 28, 2016 - September 12, 2016
MML INVESTORS SERVICES, LLC
June 10, 2016 - September 12, 2016
MML INVESTORS SERVICES, LLC
April 3, 2013 - March 11, 2016
SECURITIES AMERICA ADVISORS, INC.
April 3, 2013 - March 11, 2016
SECURITIES AMERICA, INC.
February 9, 2012 - April 5, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 9, 2012 - April 5, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 8, 2010 - January 23, 2012
CHASE INVESTMENT SERVICES CORP.
September 8, 2010 - January 23, 2012
CHASE INVESTMENT SERVICES CORP.
December 15, 2009 - August 25, 2010
VOYA FINANCIAL ADVISORS, INC.
December 10, 2009 - August 25, 2010
VOYA FINANCIAL ADVISORS, INC.
March 3, 2009 - September 10, 2009
CETERA INVESTMENT SERVICES LLC
March 3, 2009 - September 10, 2009
CETERA INVESTMENT SERVICES LLC
October 1, 2007 - October 31, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 1, 2007 - October 31, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 30, 2007 - August 10, 2007
BANCWEST INVESTMENT SERVICES, INC.
May 30, 2007 - August 10, 2007
BANCWEST INVESTMENT SERVICES, INC.
October 17, 2006 - May 23, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
October 17, 2006 - May 23, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
August 1, 2005 - October 6, 2006
UVEST FINANCIAL SERVICES GROUP, INC.
August 1, 2005 - October 6, 2006
UVEST FINANCIAL SERVICES GROUP, INC.
April 21, 2004 - July 19, 2005
UCB INVESTMENT SERVICES, INC.
April 12, 2004 - July 19, 2005
UCB INVESTMENT SERVICES, INC.
July 3, 2003 - March 8, 2004
CETERA INVESTMENT SERVICES LLC
May 29, 2003 - March 8, 2004
CETERA INVESTMENT SERVICES LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/2/2017)
(10/2/2017)
(3/3/2023)
(12/26/2024)
(10/2/2017)
(4/10/2025)
(12/21/2022)
(2/26/2021)
(1/12/2023)
(8/5/2025)
Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
