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Suet pik Chai

Cetera Investment Services LLC

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About Suet pik Chai

Suet pik Chai is a financial professional with Cetera Investment Services LLC. Suet pik Chai has been in the industry since September 12, 2017. Suet pik Chai is licensed to sell securities in California. Suet pik Chai holds Series 6 and Series 63 licenses. Suet pik Chai is also licensed to sell investment company products and variable contracts.

Firm Information

Suet pik Chai is currently registered with Cetera Investment Services LLC. Cetera Investment Services LLC is a Limited Liability Company formed on November 30, 2012, and approved to operate in 53 states and the District of Columbia. The firm has 1 approved SEC registration and 53 approved state registrations. Cetera Investment Services LLC has a history of regulatory events (11 reported) and arbitration disclosures (3 reported).

Not reported

Assets Under Management

Not reported

Total Clients

372

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Suet pik Chai’s Registration & Firm History

CA

09/13/2017 - Present

Cetera Investment Services LLC (SAN FRANCISCO CA)

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Licenses & Designations

BC

Issued 01/08/2018

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/13/2017

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Suet pik Chai.
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