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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

WILLIAM CHENG WU TUNG

Advisor at CETERA INVESTMENT ADVISERS LLC

PASADENA, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Aug 23, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 16, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Feb 16, 1990
First registration: Aug 23, 2001
Dual registered: yes, broker-dealer
Other names: CHENG WU TUNG|WILLIAM CHENG TUNG|BILL TUNG
IAPD individual key: 1735337

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Oct 5, 2018	n/a	yes	PASADENA, CA	Current employment
U.S. BANCORP INVESTMENTS, INC.	Former SEC adviser	Apr 8, 2013	Apr 11, 2018	no	SAN FRANCISCO, CA\|Minneapolis, MN	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 3, 2011	Nov 7, 2011	no	SAN JOSE, CA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Aug 25, 2008	Jan 3, 2011	no	SAN JOSE, CA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Jan 31, 2006	Mar 24, 2008	no	WESTLAKE VILLAGE, CA\|PASADENA, CA	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Aug 23, 2001	Jan 19, 2006	no	FREMONT, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
U.S. BANCORP INVESTMENTS, INC.	CETERA INVESTMENT ADVISERS LLC	Apr 11, 2018	Oct 5, 2018	177	Firm change	Ibd to ibd
WELLS FARGO ADVISORS	U.S. BANCORP INVESTMENTS, INC.	Nov 7, 2011	Apr 8, 2013	518	Firm change after gap	Other
WELLS FARGO INVESTMENTS, LLC	WELLS FARGO ADVISORS	Jan 3, 2011	Jan 3, 2011	0	Bulk transfer	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	WELLS FARGO INVESTMENTS, LLC	Jan 19, 2006	Jan 31, 2006	12	Firm change	Other

Relationships

Registered with (5)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Oct 5, 2018 to presentfactForm ADV
→ U.S. BANCORP INVESTMENTS, INC.Registered adviserregistration: previous registration
Apr 8, 2013 to Apr 11, 2018factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 3, 2011 to Nov 7, 2011factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Aug 25, 2008 to Jan 3, 2011factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Aug 23, 2001 to Jan 19, 2006factForm ADV

Dated events

No dated event names this entity yet.