Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Tung has been in the financial services industry since 1992. William is currently registered with Cetera Investment Advisers LLC and holds the following licenses: Series 7, Series 6, Series 63, Series 65, Series 8, Series 9, Series 10, Series 24, Series 52, Series 53 and the SIE. William is a licensed investment advisor and is also a registered representative. William has previously worked with U.S. Bancorp Investments, Inc., Wells Fargo Advisors, LLC, Wells Fargo Investments, LLC, Banc of America Investment Services, Inc., CitiCorp Investment Services, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Chase Investment Services Corp., Chemical Investment Services Corp., Liberty Securities Corporation, BA Investment Services, Inc., Financial Horizons Securities Corporation, GNA Securities, Inc., Protective Equity Services, Inc., Landmark Brokerage Services, Inc., EquiCo Securities, Inc., and The Equitable Life Assurance Society of the United States. William specializes in providing financial planning, pension consulting, educational seminars, selection of other advisers, 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.
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2
CA
10/05/2018 - Present
Cetera Investment Advisers LLC (PASADENA CA)
CA
04/17/2013 - 04/11/2018
U.S. BANCORP INVESTMENTS, INC. (SAN FRANCISCO CA)
CA
01/03/2011 - 11/07/2011
WELLS FARGO ADVISORS, LLC (SAN JOSE CA)
CA
08/25/2008 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (SAN JOSE CA)
CA
01/31/2006 - 03/24/2008
WELLS FARGO INVESTMENTS, LLC (WESTLAKE VILLAGE CA)
MA
08/15/2001 - 01/19/2006
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NY
11/09/1999 - 08/02/2001
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NY
04/06/1998 - 11/11/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IL
09/18/1996 - 04/10/1998
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
NA
06/07/1996 - 09/18/1996
CHEMICAL INVESTMENT SERVICES CORP.
NA
07/22/1994 - 08/24/1995
CHEMICAL INVESTMENT SERVICES CORP.
NY
08/05/1993 - 08/01/1994
LIBERTY SECURITIES CORPORATION (PURCHASE NY)
CA
05/30/1992 - 08/27/1993
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
NA
06/02/1993 - 08/18/1993
FINANCIAL HORIZONS SECURITIES CORPORATION
NY
10/30/1992 - 08/06/1993
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
VA
08/14/1991 - 06/30/1992
GNA SECURITIES, INC. (GLEN ALLEN VA)
VA
10/02/1990 - 05/22/1991
GNA SECURITIES, INC. (GLEN ALLEN VA)
AL
07/19/1990 - 08/10/1990
PROTECTIVE EQUITY SERVICES, INC. (BIRMINGHAM AL)
NA
08/09/1989 - 08/01/1990
LANDMARK BROKERAGE SERVICES, INC.
NY
03/13/1989 - 08/24/1989
EQUICO SECURITIES, INC. (NEW YORK NY)
NY
03/13/1989 - 08/24/1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
IA
Issued 8/28/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 2/16/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 53 - Municipal Securities Principal Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 8/6/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 1/25/1994
Series 24 - General Securities Principal Examination
BC
Issued 1/2/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 4/11/2018
SIE - Securities Industry Essentials Examination
BC
Issued 5/12/1992
Series 7 - General Securities Representative Examination
BC
Issued 3/10/1989
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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