Ping Shuang C. Wu

CETERA INVESTMENT ADVISERS LLC

ARCADIA, CA 91006

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CRD#: 4924232

Professional summary

Ping Shuang Cathy Wu, who also goes by Cathy Wu, Ping Shuang Wu, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Arcadia, California and CETERA INVESTMENT SERVICES LLC located in Montebello, California.

Ping Shuang is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Ping Shuang has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Cathy Wu | Ping Shuang Wu

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 Ping Shuang Cathy 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®

None

Experience

Current

January 21, 2014 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 200 E Duarte, Arcadia, CA 91006

RIA

CRD#: 105644

ARCADIA, CA

Current

September 16, 2013 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 2825 Via Campo, Montebello, CA 90640Office #2: 200 E Duarte, Arcadia, CA 91006Office #3: 27421 Hawthorne Boulevard, Palos Verdes, CA 90274Office #4: 23737 Hawthorne Boulevard, Torrance, CA 90505

CRD#: 15340

Montebello, CA

Past

September 16, 2013 - January 21, 2014

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

ENCINO, CA

Past

January 1, 2010 - April 15, 2013

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

PASADENA, CA

Past

January 1, 2010 - April 15, 2013

UBS FINANCIAL SERVICES INC.

CRD#: 8174

PASADENA, CA

Past

August 17, 2009 - January 1, 2010

UBS INTERNATIONAL INC.

RIA

CRD#: 107726

PASADENA, CA

Past

April 16, 2009 - January 1, 2010

UBS INTERNATIONAL INC.

CRD#: 107726

PASADENA, CA

Past

June 7, 2007 - April 17, 2009

UCB INVESTMENT SERVICES, INC.

CRD#: 125574

INDUSTRY, CA

Past

November 2, 2006 - June 1, 2007

GENESIS SECURITIES, LLC

CRD#: 46992

NEW YORK, 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".

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
(9/16/2013)

IAR

California
(1/21/2014)

Florida
(5/6/2022)

Nevada
(9/30/2024)

New York
(4/12/2018)

Washington
(4/2/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/15/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/13/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/1/2006

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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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Firm Stability Insights

Ping Shuang C. Wu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ping Shuang Cathy Wu's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

UBS INTERNATIONAL INC.

UBS INTERNATIONAL INC.

UCB INVESTMENT SERVICES, INC.

GENESIS SECURITIES, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/15/2009

Series 63

Date: 8/13/2007

SIE

Date: 10/1/2018

Series 7

Date: 11/1/2006

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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