Charmin Wu

CETERA INVESTMENT ADVISERS LLC

SCHAUMBURG, IL 60173-2096

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CRD#: 4633293

Professional summary

Charmin Wu, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Schaumburg, Illinois and CETERA WEALTH SERVICES, LLC located in Newport Beach, California.

Charmin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Charmin has worked at 9 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.

Anthem BlueCross~'NIR'~21 Cabrillo St~Newport Beach~CA~92663~Insurance Agent~Agent~7/11/2012~4hrs~4hrs~health insurance/including medicare supp|Covered California~'NIR'~21 CABRILLO ST~NEWPORT BEACH~CA~92663~Insurance Agent~Agent~7/19/2014~2hrs~2hrs~health insurance via covered CA - aka obamacare|Charmin Wu CPA CFP~'NIR'~21 Cabrillo St~Newport Beach~CA~92663~ Accounting Services/Tax Preparation~Owner~1/1/2012~80hrs~80hrs~Tax preparation (corp. and individual), accounting, bookkeeping Fractional CFO Accounting Services/Tax Preparation~Employee~1/7/2019~80hrs~0hrs~part time seasonal remote tax specialist during tax season from Jan - May for Turbotaxe

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charmin Wu'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®

CFP^®

Certified Financial Planner

Start date: 2012

Experience

Current

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096Office #2: 23 Corporate Plaza Dr. Suite 150, Newport Beach, CA 92660

CRD#: 6363

MINNEAPOLIS, MN

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

California
(9/5/2025)

CETERA INVESTMENT ADVISERS LLC

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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	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.

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Charmin Wu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charmin Wu's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/23/2003

SIE

Date: 10/1/2018

Series 31

Date: 5/24/2006

Series 7

Date: 4/9/2003

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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