LC
Leona H. Chan
CETERA INVESTMENT ADVISERS LLC
Hopewell Junction, NY 12533
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CRD#: 6123017
LC
Professional summary
Leona Hui Chan, who also goes by Leona H Chan, Leona Chan, Kit-lai Leona Hui, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Hopewell Junction, New York and CETERA WEALTH SERVICES, LLC located in Dallas, Texas.
Leona is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Leona has worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 6TO and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Leona H Chan | Leona Chan | Kit-Lai Leona Hui
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) LEONA H. CHAN, CPA P.C. POSITION: CONSULTANT NATURE: CONSULTING TAX PREPARATION, INVESTMENT RELATED: YES NUMBER OF HOURS: 5 PER WEEK, DURING TRADING HOURS, START DATE: 11/2025 ADDRESS: SAME AS REGISTERED LOCATION, DESCRIPTION: REVIEW AND HELP COMMUNICATE WITH CLIENTS AS NEEDED; 2) MID-HUDSON CHINESE CHRISTIAN CHURCH POSITION: Board member NATURE: Mid-Hudson Chinese Christian Church is a non-denominational evangelical church located in Wappingers Falls, New York. INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2020 ADDRESS: 306 All Angels Hill, Wappingers Falls NY 12590, United States DESCRIPTION: Deaconfor children ministry- set agenda, coordinate teachers and materials. Participate in monthly deacon board. 3) RENTAL PROPERTIES POSITION: Owner NATURE: 3 residential rental properties INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/01/2011 ADDRESS: 29 Grove Ct, Fishkill NY 12524, United States DESCRIPTION: Draft annual lease agreements, coordinate repair and maintenance if necessary, deposit monthly rent and pay management fees.
CRS (Client Relationship Summary) - RIA
Click below to view Leona Hui Chan'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®
NoneExperience
Current
September 6, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2345 Route 52 Ste 2l, Hopewell Junction, NY 12533RIA
CRD#: 105644
Hopewell Junction, NY
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019BD
CRD#: 13572
DALLAS, TX
Past
January 5, 2024 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
Past
January 4, 2023 - September 8, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Hopewell Junction, NY
Past
November 9, 2016 - October 26, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
PAWLING, NY
Past
November 2, 2012 - November 30, 2016
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
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 Jersey(9/5/2025)
RR
New York(9/5/2025)
IAR
New York(9/6/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/14/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 6TO
Date: 12/29/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Hopewell Junction, NY 12533TRUST BUT VERIFY
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