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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Samuel? Claim Your ProfileSamuel Leon Chi is a financial advisor with Cetera Investment Advisers LLC. Samuel has been in the financial services industry for over 30 years and holds Series 6, 7, 24, 52TO, 53 and 63 licenses. Samuel's experience is in providing financial planning and investment management services for individuals, families, and businesses. Samuel has previously worked at firms such as WAMU INVESTMENTS, INC., CITICORP INVESTMENT SERVICES, XCU CAPITAL CORPORATION, INC., INVEST FINANCIAL CORPORATION, LIBERTY SECURITIES CORPORATION, FIRST INTERSTATE INVESTMENTS, INC., ESSEX NATIONAL SECURITIES, INC., FIMCO SECURITIES GROUP, INC., GREAT WESTERN FINANCIAL SECURITIES CORPORATION, PRUCO SECURITIES CORPORATION, and THE PRUDENTIAL INSURANCE COMPANY OF AMERICA.
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
06/29/2023 - Present
Cetera Investment Advisers LLC (EL SEGUNDO CA)
CA
02/18/2005 - 10/23/2007
WAMU INVESTMENTS, INC. (IRVINE CA)
NY
01/09/2004 - 02/17/2005
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NC
06/20/2002 - 01/06/2004
XCU CAPITAL CORPORATION, INC. (RALEIGH NC)
WI
06/27/2001 - 06/19/2002
INVEST FINANCIAL CORPORATION (APPLETON WI)
NY
02/08/1996 - 06/26/2001
LIBERTY SECURITIES CORPORATION (PURCHASE NY)
NA
10/10/1995 - 02/09/1996
FIRST INTERSTATE INVESTMENTS,INC.
CA
10/13/1995 - 11/15/1995
ESSEX NATIONAL SECURITIES, INC. (NAPA CA)
WI
04/07/1995 - 10/05/1995
FIMCO SECURITIES GROUP, INC. (PORT WASHINGTON WI)
CA
10/15/1992 - 03/16/1995
GREAT WESTERN FINANCIAL SECURITIES CORPORATION (NORTHRIDGE CA)
NJ
07/06/1990 - 10/16/1991
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
07/06/1990 - 10/16/1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
IA
Issued 10/16/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/4/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/19/2007
Series 53 - Municipal Securities Principal Examination
BC
Issued 7/15/2006
Series 24 - General Securities Principal Examination
BC
Issued 2/9/2024
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 1/17/2002
Series 7 - General Securities Representative Examination
BC
Issued 7/3/1990
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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