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LS

Leecheng Sayaxang

CETERA WEALTH SERVICES
West Des Moines, IA 50266
Some features on this profile are disabled
CRD#: 5284077
LS

Professional summary

Leecheng Sayaxang, who also goes by Cheng L Sayaxang, is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in West Des Moines, Iowa and CETERA FINANCIAL SPECIALISTS LLC located in West Des Moines, Iowa.

Leecheng is registered as a RR (Registered Representative) and started their career in finance in 2007. Leecheng has worked at 9 firms and has passed the SIE, Series 99 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Cheng L Sayaxang

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) - BD

Click below to view Leecheng Sayaxang'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

March 6, 2015 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266
BD
CRD#: 13572
West Des Moines, IA
Current

March 6, 2015 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266
BD
CRD#: 10358
West Des Moines, IA
Current

March 6, 2015 - Present

CETERA ADVISORS LLC

Office #1: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266
BD
CRD#: 10299
West Des Moines, IA
Current

February 2, 2026 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266
BD
CRD#: 15340
West Des Moines, IA
Past

July 10, 2015 - November 9, 2016

VSR FINANCIAL SERVICES, INC.

BD
CRD#: 14503
West Des Moines, IA
Past

July 10, 2015 - November 9, 2016

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
WEST DES MOINES, IA
Past

July 10, 2015 - November 2, 2017

GIRARD SECURITIES, INC.

BD
CRD#: 18697
W DES MOINES, IA
Past

July 10, 2015 - December 3, 2019

SUMMIT BROKERAGE SERVICES, INC.

BD
CRD#: 34643
W Des Moines, IA
Past

March 6, 2015 - April 3, 2015

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
ST. CLOUD, MN
Past

February 12, 2007 - November 26, 2008

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
DES MOINES, IA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 3/6/2015
Operations Professional Examination
General Industry/Product Exam
RR
Series 6
Date: 2/9/2007
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CETERA INVESTMENT SERVICES LLC
BANKERS SYSTEMS BROKERAGE SERVICES, INC. | PRIMEVEST FINANCIAL SERVICES, INC. | CETERA INVESTMENT SERVICES LLC | CETERA FINANCIAL INSTITUTIONS

CRD#: 15340 / SEC#: 801-45573, 8-31826

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
400 First St. S. Suite 300, St. Cloud, MN 56301
Mailing Address
P.o. Box 283, St. Cloud, MN 56302-0283
Phone number
(320) 656-4300
Established
Delaware since 11/30/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

FORM ADV 2A AND APPENDIX 1 (10/9/2013)

Direct owners and executive officers

NamePositionCRD#
CETERA FINANCIAL GROUP, INC.SOLE MEMBER
BUCHHEISTER, JEFFREY ROBERTCHIEF FINANCIAL OFFICER4709900
BUDEVICH, SERGEVICE PRESIDENT AND TAX OFFICER7996345
CASEY, SEAN PATRICKVICE PRESIDENT2156290
DOWELL, RODNEY CAMMERONPRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT7376607
GOK, LISA ANNESECRETARY5059738
HANAU, JENNIFER LEIGHVICE PRESIDENT2898698
HOLWEGER, KIMBERLEY ANNCHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER1572778
KIRCHER, NICHOLE MARIEVICE PRESIDENT2876887
LEE, WINNIE AI-LINGASSISTANT SECRETARY7381661
MACKAY, TODD CHRISTOPHERMANAGER2799860
MIZUGUCHI, MAURACHIEF ACCOUNTING OFFICER AND TREASURER5769181
NEARY, JOSEPH DANIELCHIEF COMPLIANCE OFFICER2993505
RAMOS, RAMONMONEY LAUNDERING REPORTING OFFICER2160203
REINHOLZ, CHRISTOPHER JONVICE PRESIDENT, DIRECTOR OF TRADING1961258
RUMMEL, LEANN RENEEMANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER1965155
SMILEY, STANLEY ROBERTVICE PRESIDENT3004604
STINSON, TIMOTHY EARL MCCOYVICE PRESIDENT2272183
VAN HAVERMAAT, DAVID JAMESASSISTANT SECRETARY7042846

Disclosures

Regulatory Event12
Arbitration3

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 SERVICES LLC

CRD#: 15340West Des Moines, IA 50266

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