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VL

Vanessa T. Ly

CETERA INVESTMENT ADVISERS
Newport Beach, CA 92660
CRD#: 4664226
Some features on this profile are disabled
VL
Vanessa Trinh LyCETERA INVESTMENT ADVISERS

Professional summary

Vanessa Trinh Ly, who also goes by Van The Trinh, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Newport Beach, California and CETERA WEALTH SERVICES, LLC located in Newport Beach, California.

Vanessa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Vanessa has worked at 13 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Van The Trinh

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vanessa Trinh Ly'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

April 2, 2026 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 4695 Macarthur Court Suite 850, Newport Beach, CA 92660
RIA
CRD#: 105644
Newport Beach, CA
Current

April 2, 2026 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 4695 Macarthur Court 10th Floor, Newport Beach, CA 92660
BD
CRD#: 13572
Newport Beach, CA
Past

June 28, 2023 - April 22, 2026

MORGAN STANLEY

RIA
CRD#: 149777
SANTA ANA, CA
Past

June 28, 2023 - April 22, 2026

MORGAN STANLEY

BD
CRD#: 149777
SANTA ANA, CA
Past

February 17, 2023 - June 21, 2023

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
LOS BANOS, CA
Past

February 6, 2023 - June 20, 2023

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI
Past

July 3, 2019 - January 10, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
Grand Rapids, MI
Past

July 3, 2019 - January 10, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Grand Rapids, MI
Past

January 11, 2017 - July 5, 2019

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
GRAND RAPIDS, MI
Past

January 11, 2017 - July 5, 2019

OPPENHEIMER & CO. INC.

BD
CRD#: 249
GRAND RAPIDS, MI
Past

January 22, 2015 - January 12, 2017

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

BD
CRD#: 18487
GRAND RAPIDS, MI
Past

January 14, 2015 - February 10, 2017

LEGACY PLANNING & ASSOCIATES, INC.

RIA
CRD#: 156537
GRAND RAPIDS, MI
Past

September 19, 2013 - January 5, 2015

ROYAL ADVISORS, LLC

RIA
CRD#: 145006
GRAND RAPIDS, MI
Past

September 9, 2013 - January 5, 2015

ROYAL SECURITIES COMPANY

BD
CRD#: 10702
GRAND RAPIDS, MI
Past

January 4, 2012 - November 7, 2012

EDWARD JONES

RIA
CRD#: 250
KENTWOOD, MI
Past

October 21, 2011 - November 7, 2012

EDWARD JONES

BD
CRD#: 250
KENTWOOD, MI
Past

July 29, 2003 - June 23, 2004

FARMERS FINANCIAL SOLUTIONS, LLC

BD
CRD#: 103863
WESTLAKE VILLAGE, CA

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
(4/2/2026)
IAR
California
(4/2/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/4/2011
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/12/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/20/2011
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/28/2003
Investment Company Products/Variable Contracts Representative 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)

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

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#: 105644Newport Beach, CA 92660

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