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Cindy Mo

CETERA INVESTMENT ADVISERS LLC
IRVINE, CA 92604
Some features on this profile are disabled
CRD#: 6341776
CM

Professional summary

Cindy Mo is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Irvine, California and CETERA INVESTMENT SERVICES LLC located in Irvine, California.

Cindy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Cindy has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cindy Mo's CRS (Customer Relationship Summary).
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®
None

Experience

Current

September 25, 2017 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 15323 Culver Drive, Irvine, CA 92604
RIA
CRD#: 105644
IRVINE, CA
Current

September 25, 2017 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 15323 Culver Dr, Irvine, CA 92604Office #2: 4860 Irvine Blvd Ste 100, Irvine, CA 92620Office #3: 2415 E Imperial Hwy, Ste 101, Brea, CA 92821Office #4: 1195 S Diamond Bar Blvd, Diamond Bar, CA 91765Office #5: 5351 University Dr., Irvine, CA 92612
BD
CRD#: 15340
Irvine, CA
Past

March 1, 2017 - September 25, 2017

LPL FINANCIAL LLC

RIA
CRD#: 6413
TORRANCE, CA
Past

February 28, 2017 - September 25, 2017

LPL FINANCIAL LLC

BD
CRD#: 6413
TORRANCE, CA
Past

January 3, 2017 - February 28, 2017

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
TORRANCE, CA
Past

January 3, 2017 - February 28, 2017

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
DIAMOND BAR, CA
Past

July 27, 2016 - December 1, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
ARCADIA, CA
Past

July 27, 2016 - December 1, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
ARCADIA, CA
Past

July 24, 2015 - July 18, 2016

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
ALHAMBRA, CA
Past

May 11, 2015 - July 18, 2016

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
SAN GABRIEL, 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.

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
Arizona
(4/24/2023)
RR
California
(9/25/2017)
IAR
California
(9/25/2017)
RR
Florida
(3/5/2021)
RR
Nevada
(9/25/2017)
RR
New York
(5/23/2019)
RR
Texas
(9/25/2017)
IAR
Texas
(9/28/2017)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/23/2015
Uniform Combined 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: 5/11/2015
General Securities Representative Examination
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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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
11/18/2022
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#: 105644Irvine, CA 92604

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