Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lilly? Claim Your ProfileLilly Tung is a financial advisor with Cetera Investment Advisers LLC. Lilly has been in the financial services industry since June 19, 2003. Lilly is registered with FINRA and the state of California. Lilly has passed several industry exams including the Series 6, Series 7, Series 9, Series 10, Series 26, Series 63, and Series 66 exams. Lilly specializes in providing financial planning, pension consulting, educational seminars, selection of other advisors, and portfolio management for businesses and individuals.
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.
1
2
CA
02/02/2022 - Present
Cetera Investment Advisers LLC (PASADENA CA)
CA
03/17/2017 - 01/14/2022
HSBC SECURITIES (USA) INC. (WALNUT CA)
CA
09/15/2016 - 02/03/2017
CETERA INVESTMENT SERVICES LLC (ROWLAND HEIGHTS CA)
CA
07/18/2006 - 06/10/2016
HSBC SECURITIES (USA) INC. (WALNUT CA)
MA
11/20/2002 - 05/22/2006
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
BOTH
Issued 12/18/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/22/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 7/20/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 8/23/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/31/2011
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/9/2012
Series 7 - General Securities Representative Examination
BC
Issued 11/19/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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