Joan Tsuei
COOPER MCMANUS | Financial Advisor
Irvine, CA 92618
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CRD#: 6903040
Professional summary
Joan Tsuei is a registered financial advisor currently at COOPER MCMANUS located in Irvine, California and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Irvine, California.
Joan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Joan has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
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.
1. COOPER FINANCIAL GROUP DBA COOPER MCMANUS, 9870 Research Dr, Irvine CA 92618, United States, 10/04/2024, IAR, DBA, INV REL, 160/MO - 160/Trading 2. JOAN TSUEI, Los Angeles CA 90034, United States, 10/04/2024, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 10/MO - 10/Trading 3. AVANA WEALTH MANAGEMENT, 9465 Wilshire Boulevard, Suite 300, Beverly Hills, CA 90212, United States, START DATE 10/2025, Agent, Using a Trade Name / DBA, NIR, 40 HR/MO - 40 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Joan Tsuei'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
November 13, 2024 - Present
COOPER MCMANUS
Office #1: 9870 Research Drive, Irvine, CA 92618RIA
CRD#: 111458
Irvine, CA
Current
November 13, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 9870 Research Dr., Irvine, CA 92618BD
CRD#: 39543
Irvine, CA
Past
October 31, 2019 - November 19, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
LOS ANGELES, CA
Past
September 16, 2019 - November 19, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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".
CM
COOPER MCMANUS
401KAMERICA | WEST PRIVATE WEALTH MANAGEMENT | THE PURMORT GROUP | TAX SMART INVESTING & PLANNING | TADMAN FINANCIAL | SYV WEALTH ADVISORS | ROYAL GLOBAL ASSET MANAGEMENT LLC | RIDGE FINANCIAL PLANNING | RICCIO WEALTH MANAGEMENT | PRUDENCE WEALTH ADVISORY | PEARL FINANCIAL | NEWPORT INVESTORS | MORGAN STERLING PRIVATE WEALTH MANAGEMENT | MKT WEALTH MANAGEMENT | LORRIMER PRIVATE WEALTH MANAGEMENT | LINDSEY AND LINDSEY WEALTH MANAGEMENT | LEFT LANE FINANCIAL | LDW CONSULTING GROUP | LARSON FINANCIAL SERVICES, INC. | KERR FINANCIAL FAMILY | K.W. JONES WEALTH | IRVINE WEALTH MANAGEMENT | HARRINGTON FINANCIAL | FIRST PRINCIPLES WEALTH MANAGEMENT | FINANCIAL CLARITY GUIDES | FAIR PLANET ADVISORS | EVERGREEN WEALTH ADVISORY GROUP | EHG FINANCIAL | CROSS FINANCIAL INVESTMENTS | COOPER MCMANUS | COOPER FINANCIAL GROUP | CB WEALTH ADVISORY | AVANA WEALTH MANAGEMENT | ATLAS INDICATORS INVESTMENT ADVISORS | ASCENT WEALTH MANAGEMENT
CRD#: 111458 / SEC#: 801-61944
RIA
Registered Investment Advisory firm - (4/7/2003 Approved)California
Registered Investment Advisory firm - (4/9/2003 Terminated)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(11/13/2024)
RR
California(11/13/2024)
IAR
California(11/13/2024)
RR
Colorado(11/13/2024)
RR
Connecticut(11/13/2024)
RR
District of Columbia(11/13/2024)
RR
Florida(11/13/2024)
RR
Georgia(11/13/2024)
RR
Hawaii(11/13/2024)
RR
Idaho(11/13/2024)
RR
Illinois(11/13/2024)
RR
Maine(11/13/2024)
RR
Maryland(11/13/2024)
RR
Massachusetts(11/13/2024)
RR
Michigan(11/13/2024)
RR
Minnesota(11/13/2024)
RR
Nevada(11/13/2024)
RR
New Hampshire(11/13/2024)
RR
New Jersey(11/13/2024)
RR
New York(11/13/2024)
RR
North Carolina(11/13/2024)
RR
Oklahoma(11/13/2024)
RR
Oregon(11/13/2024)
RR
Pennsylvania(11/13/2024)
RR
South Carolina(11/13/2024)
RR
South Dakota(11/13/2024)
RR
Tennessee(11/13/2024)
RR
Texas(11/13/2024)
RR
Utah(11/13/2024)
RR
Virginia(11/13/2024)
RR
Washington(11/13/2024)
RR
West Virginia(11/13/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/14/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CM
COOPER MCMANUS
401KAMERICA | WEST PRIVATE WEALTH MANAGEMENT | THE PURMORT GROUP | TAX SMART INVESTING & PLANNING | TADMAN FINANCIAL | SYV WEALTH ADVISORS | ROYAL GLOBAL ASSET MANAGEMENT LLC | RIDGE FINANCIAL PLANNING | RICCIO WEALTH MANAGEMENT | PRUDENCE WEALTH ADVISORY | PEARL FINANCIAL | NEWPORT INVESTORS | MORGAN STERLING PRIVATE WEALTH MANAGEMENT | MKT WEALTH MANAGEMENT | LORRIMER PRIVATE WEALTH MANAGEMENT | LINDSEY AND LINDSEY WEALTH MANAGEMENT | LEFT LANE FINANCIAL | LDW CONSULTING GROUP | LARSON FINANCIAL SERVICES, INC. | KERR FINANCIAL FAMILY | K.W. JONES WEALTH | IRVINE WEALTH MANAGEMENT | HARRINGTON FINANCIAL | FIRST PRINCIPLES WEALTH MANAGEMENT | FINANCIAL CLARITY GUIDES | FAIR PLANET ADVISORS | EVERGREEN WEALTH ADVISORY GROUP | EHG FINANCIAL | CROSS FINANCIAL INVESTMENTS | COOPER MCMANUS | COOPER FINANCIAL GROUP | CB WEALTH ADVISORY | AVANA WEALTH MANAGEMENT | ATLAS INDICATORS INVESTMENT ADVISORS | ASCENT WEALTH MANAGEMENT
CRD#: 111458 / SEC#: 801-61944
RIA
Registered Investment Advisory firm - (4/7/2003 Approved)California
Registered Investment Advisory firm - (4/9/2003 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
9870 Research Drive, Irvine, CA 92618
Mailing Address
Phone number
(800) 516-5333
Established
Firm type
Fiscal year end
# of Employees
52
SEC notice filing (34 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,372 |
| AUM (Assets Under Management) | $ 2,560,714,584 |
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.
