Cindy Mo is a registered investment advisor, based in Irvine, CA, with 11 years of industry experience. Cindy is also registered as a broker, so some compensation may come from commissions on products sold.
Location
15323 Culver Drive, Irvine, CA, 92604
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Regulatory History (1)
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Customer Dispute
September 2024Settled
Employment History
Current Registrations
Cetera Investment Services LLCBroker
September 2017 - Present · 9 yrs 1 mo
Cetera Investment Advisers LLC
September 2017 - Present · 9 yrs 1 mo
Previous Registrations
LPL Financial LLC
March 2017 - September 2017 · 6 mos
LPL Financial LLCBroker
February 2017 - September 2017 · 7 mos
Cetera Investment Services LLCBroker
January 2017 - February 2017 · 1 mo
Cetera Investment Advisers LLC
January 2017 - February 2017 · 1 mo
Merrill Lynch, Pierce, Fenner & Smith Incorporated
July 2016 - December 2016 · 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 2016 - December 2016 · 5 mos
Cetera Investment Advisers LLC
July 2015 - July 2016 · 1 yr
Cetera Investment Services LLCBroker
May 2015 - July 2016 · 1 yr 2 mos
State Registrations6 states
AZCAFLNVNYTX
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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