HZ
HZ
Helen Zhou
21 Years of Experience
Pasadena, CA
1 DisclosureBroker
Helen Zhou is a registered investment advisor at Cetera Investment Advisers LLC, based in Pasadena, CA, with 21 years of industry experience. Helen operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
Loading...
Location
135 N Los Robles Avenue, Pasadena, CA, 91101
Get directionsHistory
Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
June 2010Denied
Other Business Activities
Helen is a Senior Manager of Wealth Sales and Strategies at East West Bank.
Employment History
Current Registrations
Cetera Investment Advisers LLC
September 2018 - Present · 7 yrs 8 mos
Cetera Investment Services LLCBroker
September 2018 - Present · 7 yrs 8 mos
Previous Registrations
U.S. Bancorp Investments, INC.Broker
March 2013 - June 2018 · 5 yrs 3 mos
U.S. Bancorp Investments, INC.
March 2013 - June 2018 · 5 yrs 3 mos
Wells Fargo Advisors, LLC
January 2011 - July 2012 · 1 yr 6 mos
Wells Fargo Advisors, LLCBroker
January 2011 - July 2012 · 1 yr 6 mos
Wells Fargo Investments, LLC
July 2007 - January 2011 · 3 yrs 6 mos
Wells Fargo Investments, LLCBroker
July 2007 - January 2011 · 3 yrs 6 mos
Citigroup Global Markets INC.Broker
May 2007 - June 2007 · 1 mo
Citicorp Investment ServicesBroker
October 2004 - May 2007 · 2 yrs 7 mos
Merrill Lynch Pierce Fenner & Smith INC.
February 2004 - September 2004 · 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 2003 - September 2004 · 10 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.