CS
Courtney H. Shan
CETERA INVESTMENT ADVISERS LLC
TORRANCE, CA 90505
Some features on this profile are disabled
CRD#: 7241200
CS
Professional summary
Courtney Huijuan Shan, who also goes by Huijuan Shan, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Torrance, California and CETERA INVESTMENT SERVICES LLC located in Fountain Valley, California.
Courtney is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Courtney has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Huijuan Shan
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.
CRS (Client Relationship Summary) - RIA
Click below to view Courtney Huijuan Shan'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
April 28, 2022 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 23211 Hawthorne Blvd #108, Torrance, CA 90505RIA
CRD#: 105644
TORRANCE, CA
Current
April 27, 2022 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 17860 Newhope St Ste 104, Fountain Valley, CA 92708Office #2: 23211 Hawthorne Blvd #108, Torrance, CA 90505Office #3: 9055 Las Tunas Dr Suite 115, Temple City, CA 91780Office #4: 5351 University Dr., Irvine, CA 92612Office #5: 9650 Flair Dr, El Monte, CA 91731Office #6: 9121 Bolsa Ave, Westminster, CA 92683Office #7: 4688 Convoy St, San Diego, CA 92111BD
CRD#: 15340
Fountain Valley, CA
Past
October 20, 2020 - April 8, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
IRVINE, CA
Past
August 24, 2020 - April 8, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
IRVINE, 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(4/28/2022)
IAR
California(4/28/2022)
RR
District of Columbia(3/13/2024)
RR
Florida(12/4/2023)
RR
Idaho(10/22/2024)
RR
Illinois(8/13/2025)
RR
Iowa(12/18/2023)
RR
Nevada(1/2/2024)
RR
New Mexico(5/16/2025)
RR
New York(1/8/2024)
IAR
Texas(12/4/2023)
RR
Texas(12/6/2023)
RR
Utah(12/21/2023)
RR
Virginia(10/9/2024)
RR
Washington(5/3/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/24/2020
General Securities 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
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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.
