Ivan J. Cen

CETERA INVESTMENT ADVISERS LLC

MILLBRAE, CA 94568

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CRD#: 5474263

Professional summary

Ivan Ji Cen, who also goes by Shao Ji Cen, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Millbrae, California and CETERA INVESTMENT SERVICES LLC located in Dublin, California.

Ivan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Ivan has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Shao Ji Cen

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 Ivan Ji Cen'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: 1095 El Camino Real, Millbrae, CA 94568

RIA

CRD#: 105644

MILLBRAE, CA

Current

January 29, 2013 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 7190 Regional Street, Dublin, CA 94568Office #2: 710 Webster St, Oakland, CA 94607Office #3: 919 Clement St, San Francisco, CA 94118Office #4: 1701 Decoto Rd, Union City, CA 94587Office #5: 2257 Irving Street, San Francisco, CA 94122Office #6: 1 E 3rd Ave Ste 101, San Mateo, CA 94401Office #7: 19 Southgate Ave, Daly City, CA 94015Office #8: 1095 El Camino Real, Millbrae, CA 94030Office #9: 1241 Stockton Street, San Francisco, CA 94133

CRD#: 15340

Dublin, CA

Past

January 29, 2013 - January 21, 2014

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

SAN FRANCISCO, CA

Past

November 21, 2011 - January 30, 2013

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN FRANCISCO, CA

Past

November 21, 2011 - January 30, 2013

LPL FINANCIAL LLC

CRD#: 6413

SAN FRANCISCO, CA

Past

January 17, 2011 - September 15, 2011

WORLD GROUP SECURITIES, INC.

CRD#: 114473

SAN FRANCISCO, CA

Past

January 7, 2011 - August 31, 2011

INVESTMENT ADVISORS INTERNATIONAL, INC.

RIA

CRD#: 139233

SAN FRANCISCO, CA

Past

October 9, 2008 - January 15, 2009

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

MENLO PARK, CA

Past

July 28, 2008 - January 15, 2009

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MENLO PARK, CA

Past

May 5, 2008 - July 7, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

SAN FRANCISCO, CA

Past

March 14, 2008 - July 7, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

SAN FRANCISCO, 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".

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

Arizona
(5/22/2019)

California
(1/29/2013)

IAR

California
(1/21/2014)

New Jersey
(3/17/2025)

New York
(5/28/2023)

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: 5/2/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/13/2008

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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Ivan J. Cen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ivan Ji Cen's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WORLD GROUP SECURITIES, INC.

INVESTMENT ADVISORS INTERNATIONAL, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/2/2008

SIE

Date: 10/1/2018

Series 7

Date: 3/13/2008

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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