Category: Cetera Advisors LLC

Gihan Anil Fernando (CRD#: 4469669) is a registered broker and investment advisor with Cetera Investment Services, LLC in Houston, TX. Broker’s History He entered the securities industry in 2002 and has worked with Morgan Staney DW Inc.; Morgan Stanley; Bok Financial Securities; and Bok Financial Advisors. Current and Past Allegations of Conduct Leading to Investment […]

William David Carlton (Bill Carlton) (CRD#: 1215541) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 1983 and previously worked with Foster & Marshall Inc.; Lehman Brothers Inc.; Smith Barney Shearson Inc.; Prudential Securities Incorporated; First Montauk Securities Corp.; First Allied Securities, Inc.; and Cetera Advisors, LLC. Allegations […]

Juan Manuel Rascon (CRD#:5631144) is a registered broker and investment adviser at Cetera Investment Services, LLC., in Houston, TX. Broker’s Background He entered the securities industry in 2009 and previously worked with Edward Jones; Chase Investment Services Corp.; J.P Morgan Securities LLC; BBVA Compass Investment Solutions, Inc.; and BBVA Securities, Inc. Current and Past Allegations […]

Haiguang Yin (CRD#: 3249933), known as “John Yin” was a previously registered broker and investment advisor. Broker’s Background He entered the securities industry in 1999 and has previously worked for a number of different brokerage firms.  Most recently, from 2013-2023, John Yin worked at Cetera Investment Services, LLC and also offered services through East West […]

Rebecca Ng-Tsang (CRD#: 5578435) is a previously registered broker.   Broker’s Background   She entered the securities industry in 2008 and previously worked for Cetera Investment Services LLC; LPL Financial LLC; Uvest Financial Services Group, Inc; and Primevest Financial Services, Inc.     Current and Past Allegations of Conduct Leading to Investment Loss   According […]

Stephen Curtis Lawler (CRD#: 1193477) is a Registered Broker and Investment Advisor at Cetera Advisors LLC, in Peoria, IL. Broker’s Background He entered the securities industry in 1983 and previously worked for First Allied Securities, Inc.; Lawler Financial Advisory Corporation; First Allied Advisory Services, Inc.; Investacorp Inc.; Integrated Resources Equity Corporation; FSC Securities Corporation; and […]

Edward Rosenblatt (CRD#: 2658712) is a Registered Broker and Investment Advisor at Cetera Advisor Networks LLC. Broker’s Background Edward Rosenblatt entered the securities industry in 1997 and has worked for Cetera Advisor Networks LLC and Cetera Investment Advisers LLC since then. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available […]

Timothy Farris (CRD#: 2178521) is a registered broker and investment adviser at Cetera Advisors LLC in West Bloomfield, MI. Broker’s Background Timothy Farris entered the securities industry in 1991 and previously for SPC; Sigma Financial Corporation; Ameriprise Financial Services, Inc.; Ameriprise Advisor Services, Inc.; Pruco Securities Corporation; and the Prudential Insurance Company of America. Current […]

Joshua A. Green is a dually registered Broker and Investment Adviser at Cetera Investment Services LLC in New Port Richey, FL. Broker’s Background He entered the securities industry in 2005 and previously worked for BB&T Investment Services, Inc.; Suntrust Investment Services, Inc.; Wells Fargo Advisors, LLC; Fifth Third Securities, Inc.; WAMU Investments, Inc.; and Intersecurities, […]

Peter Kyung Hoon Rhee (CRD#: 2326728) is a dually registered Broker and Investment Adviser at Cetera Advisors, LLC in Frankfort, IL. Broker’s Background He entered the securities industry in 1995 and previously worked for First Allied Securities, Inc.; First Allied Advisory Services, Inc.; Investment Planners, Inc.; IPI Wealth Management, Inc.; Wells Fargo Advisors, LLC; A.G. […]