Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katy? Claim Your ProfileKaty Chai is an investment advisor representative with Cetera Investment Advisers LLC, a financial services firm with offices in Schaumburg, Illinois and Costa Mesa, California. Katy has been in the financial services industry since June 2018 and holds the Series 66, Series 7, and SIE licenses. Katy also holds a state registration in Texas. Katy is experienced in providing financial planning and asset management services to a variety of clients, including high-net-worth individuals, charitable organizations, corporations, and pension and profit-sharing plans. Katy is also registered with Sovran Advisors, LLC, and has provided financial services through MassMutual Life Insurance Co and MML Investor Services, LLC in the past.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
CA
01/14/2025 - Present
Cetera Investment Advisers LLC (COSTA MESA CA)
CA
06/15/2018 - 03/06/2024
MML INVESTORS SERVICES, LLC (Costa Mesa CA)
BOTH
Issued 06/28/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/15/2018
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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