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Tuan A. Ly
CETERA INVESTMENT ADVISERS LLC
TORRANCE, CA 90503
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CRD#: 6360019
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Professional summary
Tuan A Ly, who also goes by Olivier Ly, Anh Tuan Ly, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Torrance, California.
Tuan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Tuan has worked at 3 firms and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Olivier Ly | Anh Tuan Ly
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) GERRY ANDRADE & ASSOCIATES, INC POSITION: Weath Management Assistant NATURE: Assist the Wealth Management Advisor. Gerry Andrade & Associates is a tax firm that does tax return for individual and business. In addition Gerry is a financial advisor licensed with Avantax and provide financial advise. INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 02/21/2022 ADDRESS: 3878 Carson St, Suite 220, Torrance CA 90503, United States DESCRIPTION: Process Paperwork,help Submit Trade,Help with Client's Request,Attend meeting and help with investment question. I understand that as a non-licensed individual I am prohibited from completing investment applications including 529 applications since those are considered investment accounts for customers unless the information is on file such as information from a tax return file.?
CRS (Client Relationship Summary) - RIA
Click below to view Tuan A Ly'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 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 3878 Carson Street Suite 220, Torrance, CA 90503RIA
CRD#: 105644
TORRANCE, CA
Past
December 14, 2023 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Torrance, CA
Past
July 10, 2014 - May 5, 2021
NERV MANAGEMENT LLC
RIA
CRD#: 172097
FOUNTAIN VALLEY, 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.Highlighted states indicate IAR registrations
IAR
California(9/5/2025)
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
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.
