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SW

Sisi Wu

CETERA INVESTMENT ADVISERS LLC
Diamond Bar, CA 91765
Some features on this profile are disabled
CRD#: 6764674
SW

Professional summary

Sisi Wu is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Diamond Bar, California and CETERA INVESTMENT SERVICES LLC located in Arcadia, California.

Sisi is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Sisi has worked at 5 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.
SWU LEGACY LLC, RENTAL PROPERTY, 100% OWNER, 3/HRS/WK

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sisi Wu'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

August 10, 2022 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 2783 S Diamond Bar Blvd, Diamond Bar, CA 91765Office #2: 56 E Duarte Rd Ste 108, Arcadia, CA 91007
RIA
CRD#: 105644
Diamond Bar, CA
Current

August 10, 2022 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 56 E Duarte Road Suite 108, Arcadia, CA 91007Office #2: 9502 Las Tunas Dr, Temple City, CA 91780Office #3: 515 N Grand Ave, Walnut, CA 91789Office #4: 2783 S. Diamond Bar Blvd., Unit 2783, Diamond Bar, CA 91765
BD
CRD#: 15340
Arcadia, CA
Past

January 16, 2020 - July 30, 2022

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
ALHAMBRA, CA
Past

January 16, 2020 - July 30, 2022

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
ALHAMBRA, CA
Past

November 16, 2017 - December 24, 2019

HSBC SECURITIES (USA) INC.

RIA
CRD#: 19585
ARCADIA, CA
Past

November 16, 2017 - December 24, 2019

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
ARCADIA, CA
Past

July 27, 2017 - October 3, 2017

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
LOS ANGELES, CA
Past

April 24, 2017 - October 3, 2017

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
LOS ANGELES, 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
California
(8/10/2022)
IAR
California
(8/10/2022)
RR
Nevada
(1/23/2023)
RR
New York
(3/28/2025)
RR
Utah
(5/30/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/22/2017
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: 4/24/2017
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#: 105644Diamond Bar, CA 91765

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