Ericson Shi
Professional summary
Ericson Shi, who also goes by Ericson Truong, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Beverly Hills, California and CETERA INVESTMENT SERVICES LLC located in Beverly Hills, California.
Ericson is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Ericson has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Ericson Shi's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 21, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 9378 Wilshire Blvd Ste 100, Beverly Hills, CA 90212July 27, 2023 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 9378 Wilshire Blvd Ste 100, Beverly Hills, CA 90212Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/21/2023)
(11/21/2023)
Exams
Series 7TO
Date: 7/27/2023
General Securities Representative ExaminationFINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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
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