CI
CI
Carmen Iao
28 Years of Experience
Honolulu, HI
1 DisclosureBroker
Carmen Iao is a registered investment advisor at Cetera Investment Advisers LLC, based in Honolulu, HI, with 28 years of industry experience. Carmen is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B
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Location
300 North Beretania Street, Honolulu, HI, 96817
Get directionsHistory
Regulatory History (1)
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Customer Dispute
June 2018Award / Judgment
Employment History
Current Registrations
Cetera Investment Advisers LLC
April 2017 - Present · 9 yrs 6 mos
Cetera Investment Services LLCBroker
April 2017 - Present · 9 yrs 6 mos
Previous Registrations
LPL Financial LLCBroker
June 2016 - April 2017 · 10 mos
LPL Financial LLC
June 2016 - April 2017 · 10 mos
Bankoh Investment Services, INC.Broker
April 2005 - June 2016 · 11 yrs 2 mos
Bankoh Advisors
April 2005 - June 2016 · 11 yrs 2 mos
Duerr Financial Corporation
March 2004 - March 2005 · 1 yr
Duerr Financial CorporationBroker
May 2002 - March 2005 · 2 yrs 10 mos
Fiserv Investor Services, INC.Broker
September 2001 - May 2002 · 8 mos
Park Avenue Securities LLCBroker
May 1999 - September 2001 · 2 yrs 4 mos
Guardian Investor Services CorporationBroker
April 1999 - May 1999 · 1 mo
Mony Securities CorporationBroker
December 1998 - April 1999 · 4 mos
Sunamerica Securities, INC.Broker
September 1997 - April 1998 · 7 mos
State Registrations5 states
CADCHINVWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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