William Tung is a registered investment advisor, based in Pasadena, CA, with 33 years of industry experience.
Location
135 N Los Robles Avenue, Pasadena, CA, 91101
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
William is a program manager for East West Investment Services.
Employment History
Current Registrations
Cetera Investment Services LLCBroker
October 2018 - Present · 7 yrs 9 mos
Cetera Investment Advisers LLC
October 2018 - Present · 7 yrs 9 mos
Previous Registrations
U.S. Bancorp Investments, INC.Broker
April 2013 - April 2018 · 5 yrs
U.S. Bancorp Investments, INC.
April 2013 - April 2018 · 5 yrs
Wells Fargo Advisors, LLCBroker
January 2011 - November 2011 · 10 mos
Wells Fargo Advisors, LLC
January 2011 - November 2011 · 10 mos
Wells Fargo Investments, LLC
August 2008 - January 2011 · 2 yrs 5 mos
Wells Fargo Investments, LLCBroker
August 2008 - January 2011 · 2 yrs 5 mos
Wells Fargo Investments, LLC
January 2006 - March 2008 · 2 yrs 2 mos
Wells Fargo Investments, LLCBroker
January 2006 - March 2008 · 2 yrs 2 mos
Banc of America Investment Services, INC.
August 2001 - January 2006 · 4 yrs 5 mos
Banc of America Investment Services, INC.Broker
August 2001 - January 2006 · 4 yrs 5 mos
Citicorp Investment ServicesBroker
November 1999 - August 2001 · 1 yr 9 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
April 1998 - November 1999 · 1 yr 7 mos
Chase Investment Services CORP.Broker
September 1996 - April 1998 · 1 yr 7 mos
Chemical Investment Services CORP.Broker
June 1996 - September 1996 · 3 mos
Chemical Investment Services CORP.Broker
July 1994 - August 1995 · 1 yr 1 mo
Liberty Securities CorporationBroker
August 1993 - August 1994 · 1 yr
Financial Horizons Securities CorporationBroker
June 1993 - August 1993 · 2 mos
Citicorp Investment ServicesBroker
October 1992 - August 1993 · 10 mos
Ba Investment Services, INC.Broker
May 1992 - August 1993 · 1 yr 3 mos
Gna Securities, INC.Broker
August 1991 - June 1992 · 10 mos
Gna Securities, INC.Broker
October 1990 - May 1991 · 7 mos
Protective Equity Services, INC.Broker
July 1990 - August 1990 · 1 mo
Landmark Brokerage Services, INC.Broker
August 1989 - August 1990 · 1 yr
Equico Securities, INC.Broker
March 1989 - August 1989 · 5 mos
The Equitable Life Assurance Society of the United StatesBroker
March 1989 - August 1989 · 5 mos
State Registrations1 state
CA
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.