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ES

Ericson Shi

BEVERLY HILLS, CA 90212
Some features on this profile are disabled
CRD#: 6103488
ES
Ericson Shi

Professional summary

Ericson Shi, who also goes by Ericson Truong, was a registered financial advisor .

Ericson is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Ericson had worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

At a Glance

Always Fiduciary

Aliases

Ericson Truong

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.) ADMINISTRATIVE DUTIES FOR PRJ GROUP (INVEST IN REAL ESTATE), 5/HRS/WK

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®
None

Experience

Current

August 3, 2026 - Present

Office #1: 9378 Wilshire Blvd Ste 100, Beverly Hills, CA 90212
BEVERLY HILLS, CA
Past

November 21, 2023 - July 31, 2026

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
BEVERLY HILLS, CA
Past

July 27, 2023 - July 31, 2026

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
BEVERLY HILLS, CA

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.

Highlighted states indicate IAR registrations

IAR
California
(8/3/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/19/2023
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/27/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/4/2023
Securities Industry Essentials Examination

Current firm

No current employment

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

No current employment

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