WC
Wai Cheung
CETERA INVESTMENT ADVISERS LLC
BROOKLYN, NY 11235
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CRD#: 5644538
WC
Professional summary
Wai Cheung, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Brooklyn, New York and CETERA FINANCIAL SPECIALISTS LLC located in Brooklyn, New York.
Wai is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Wai has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1)W.C. TAX AND CONSULTING SERVICE, INC; BROOKLYN HEIGHTS, NY; NON INVESTMENT RELATED; TAX PREPARATION; ENROLLED AGENT, TAX FILING SERVICES, INDIVIDUAL, CORPORATE, PAYROLL, STATE; OWNER; SINCE 07/2013; 160 HRS/MO
2)PATRON'S FAVORITE, INC; BROOKLYN, NY; NON INVESTMENT RELATED; ONLINE RETAILING; PART OWNER; SINCE 11/2018, 1 HR/MO
3) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES ;
INVESTMENT RELATED: YES ;
ADDRESS: SAME AS REGISTERED LOCATION ;
NATURE OF BUSINESS: FIXED INSURANCE ;
START DATE: 12/2019 ;
APX NUMBER OF HOURS PER WEEK: 2 ;
APX NUMBER OF HOURS DURING TRADING HOURS: 2 ;
POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT
BRIEF DESCRIPTION OF DUTIES: SELLS LIFE INSURANCE ;
CRS (Client Relationship Summary) - RIA
Click below to view Wai Cheung's 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®
CFP®
Start date: 2013
Experience
Current
March 22, 2021 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1047 Brighton Beach Ave 3rd Floor, Brooklyn, NY 11235RIA
CRD#: 105644
BROOKLYN, NY
Current
January 15, 2019 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 1884 86th St 2nd Floor, Brooklyn, NY 11214BD
CRD#: 10358
Brooklyn, NY
Past
August 28, 2013 - December 27, 2018
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
BROOKLYN, NY
Past
June 12, 2009 - August 8, 2013
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
BROOKLYN, 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".
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
New Hampshire(5/16/2022)
RR
New Jersey(1/15/2019)
RR
New York(1/15/2019)
IAR
New York(3/22/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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)Upgrade to AdvisorCheck Premium
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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)
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.
