Renee Pun
Professional summary
Renee Pun, who also goes by Renee J Pun, Renee J Won, Renee Ju Won, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in East Northport, New York and CETERA WEALTH SERVICES, LLC located in East Northport, New York.
Renee is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Renee has worked at 8 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Renee Pun's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
January 11, 2023 - Present
CETERA WEALTH SERVICES, LLC
January 11, 2023 - June 29, 2023
CETERA WEALTH SERVICES, LLC
September 25, 2020 - January 3, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 11, 2019 - January 3, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 25, 2018 - January 22, 2019
CADARET, GRANT & CO., INC.
October 10, 2012 - July 10, 2017
UBS SECURITIES LLC
September 22, 2008 - September 27, 2012
BARCLAYS CAPITAL INC.
March 7, 2007 - September 22, 2008
LEHMAN BROTHERS INC.
October 7, 2005 - March 14, 2007
JEFFERIES 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
(5/7/2024)
(6/28/2023)
(5/25/2023)
(5/3/2024)
(10/29/2024)
(6/28/2023)
(6/28/2023)
(5/7/2024)
(3/7/2024)
(5/7/2024)
(6/28/2023)
(6/28/2023)
(5/7/2024)
(1/11/2023)
(6/29/2023)
(5/7/2024)
(5/8/2024)
(6/28/2023)
(5/7/2024)
(6/28/2023)
(6/28/2023)
(8/31/2023)
(6/24/2025)
(5/7/2024)
Exams
Series 52TO
Date: 10/2/2023
Municipal Securities Representative ExaminationFINRA
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.
