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YC

Yuting Cheng

CRD#: 5719286
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YC
Yuting Cheng

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Yuting Cheng, CFP®, who also goes by Emily Cheng, Yu-ting Cheng, was a registered financial professional .

Yuting is a previously registered financial professional and started their career in finance in 2009. Yuting had worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Aliases

Emily Cheng | Yu-Ting Cheng

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)

The CRS(Customer Relationship Summary) document is not provided.

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®

Certified Financial Planner

Start date: 2016

Experience

Past

February 2, 2026 - June 26, 2026

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
rosemead, CA
Past

January 30, 2026 - June 26, 2026

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
ROSEMEAD, CA
Past

December 13, 2022 - January 14, 2026

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
ARCADIA, CA
Past

December 13, 2022 - January 14, 2026

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ARCADIA, CA
Past

April 28, 2022 - November 10, 2022

BANCWEST INVESTMENT SERVICES, INC.

RIA
CRD#: 29357
IRVINE, CA
Past

April 28, 2022 - November 10, 2022

BANCWEST INVESTMENT SERVICES, INC.

BD
CRD#: 29357
IRVINE, CA
Past

April 2, 2021 - April 12, 2022

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
LOS ANGELES, CA
Past

March 30, 2021 - April 12, 2022

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
LOS ANGELES, CA
Past

November 30, 2017 - March 17, 2021

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
DIAMOND BAR, CA
Past

November 30, 2017 - March 17, 2021

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
DIAMOND BAR, CA
Past

November 13, 2015 - December 14, 2017

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
CITY OF INDUSTRY, CA
Past

November 9, 2015 - December 14, 2017

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
CITY OF INDUSTRY, CA
Past

January 21, 2014 - November 6, 2015

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
ROWLAND HEIGHTS, CA
Past

April 2, 2013 - January 21, 2014

CETERA INVESTMENT SERVICES LLC

RIA
CRD#: 15340
ROWLAND HEIGHTS, CA
Past

April 2, 2013 - November 6, 2015

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
ROWLAND HEIGHTS, CA
Past

September 14, 2012 - March 27, 2013

CETERA INVESTMENT SERVICES LLC

RIA
CRD#: 15340
CITY OF INDUSTRY, CA
Past

June 28, 2011 - March 27, 2013

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
CITY OF INDUSTRY, CA
Past

October 23, 2009 - March 3, 2011

MAIA SECURITIES, INC.

BD
CRD#: 111394
YORBA LINDA, 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".
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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/10/2012
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/23/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/22/2009
General Securities Representative Examination

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)
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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 Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644

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