Lilly Tung is a registered investment advisor, based in Pasadena, CA, with 22 years of industry experience.
Location
135 N Los Robles Ave, 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 →Employment History
Current Registrations
Cetera Investment Services LLCBroker
February 2022 - Present · 4 yrs 3 mos
Cetera Investment Advisers LLC
February 2022 - Present · 4 yrs 3 mos
Previous Registrations
Hsbc Securities (USA) INC.
March 2017 - January 2022 · 4 yrs 10 mos
Hsbc Securities (USA) INC.Broker
March 2017 - January 2022 · 4 yrs 10 mos
Cetera Investment Services LLCBroker
September 2016 - February 2017 · 5 mos
Cetera Investment Advisers LLC
September 2016 - February 2017 · 5 mos
Hsbc Securities (USA) INC.
August 2013 - June 2016 · 2 yrs 10 mos
Hsbc Securities (USA) INC.Broker
July 2006 - June 2016 · 9 yrs 11 mos
Banc of America Investment Services, INC.Broker
November 2002 - May 2006 · 3 yrs 6 mos
State Registrations1 state
CA
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.