YB
Yun M. Bai
CETERA INVESTMENT ADVISERS LLC
CITY OF INDUSTRY, CA 91748
Some features on this profile are disabled
CRD#: 7071113
YB
Professional summary
Yun Morgan Bai, who also goes by Yun Morgan Bai, Morgan Bai, Yun Bai II, Yunmorgan Bai, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in City Of Industry, California and CETERA INVESTMENT SERVICES LLC located in City Of Industry, California.
Yun is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Yun has worked at 7 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Yun Morgan Bai | Morgan Bai | Yun Bai Ii | Yunmorgan Bai
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.
Rental Property (11433) - Rancho Cucamonga, CA ; Investment-related; Started: 3/2/2020; Title: Property Owner; Duties: The property is managed by a property management company, and I do not handle any daily operations or do not communicate with the tenants directly. All the operations are 100% handled by my property manager. I will receive the rental income every 1st of the month.; No time is devoted each month during securities trading hours; No time is devoted each month outside of securities trading hours. ///// Rental Property: Las Vegas, NV; Investment-related; Started: September 23, 2024; Title: Homeowner; Duties: The property will be managed by a property management company for daily tasks and communication with tenants. It will disburse monthly rent to me after all the expenses and costs. ; No time is devoted each month during securities trading hours; 0 hours are devoted each month outside of securities trading hours./// Rental Property Henderson NV; Investment-related; Started: June 2, 2025; Title: Homeowner; Duties: The property will be managed by a property management company for daily tasks and communication with tenants. It will distribute monthly rent after all the expenses and costs are deducted. ; No time is devoted each month during securities trading hours; 0 hours are devoted each month outside of securities trading hours.///
CRS (Client Relationship Summary) - RIA
Click below to view Yun Morgan Bai'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
August 19, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 18645 E Gale Ave #100, City Of Industry, CA 91748RIA
CRD#: 105644
CITY OF INDUSTRY, CA
Current
August 19, 2025 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 18645 E Gale Ave #100, City Of Industry, CA 91748BD
CRD#: 15340
City Of Industry, CA
Past
July 18, 2023 - August 29, 2025
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
Irvine, CA
Past
July 18, 2023 - August 29, 2025
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
Irvine, CA
Past
July 19, 2022 - July 10, 2023
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
BREA, CA
Past
July 19, 2022 - July 10, 2023
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
BREA, CA
Past
August 30, 2021 - July 7, 2022
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
IRVINE, CA
Past
August 2, 2021 - July 7, 2022
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
IRVINE, CA
Past
February 3, 2020 - May 21, 2021
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
IRVINE, CA
Past
March 22, 2019 - January 23, 2020
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
LA PUENTE, 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(8/19/2025)
IAR
California(8/19/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/31/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 3/22/2019
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
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.
