DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

LI HUANG

Advisor at CETERA INVESTMENT ADVISERS LLC

SAN FRANCISCO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3690c6a9-b76a-a0d2-91d3-aae1203f1167

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Sep 13, 2010 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: Sep 10, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Sep 10, 2010
First registration: Sep 13, 2010
Dual registered: yes, broker-dealer
Other names: LILLIAN HUANG|LILIAN HUANG
IAPD individual key: 5479193

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	Apr 13, 2022	n/a	yes	SAN FRANCISCO, CA\|SAN FRANCISCO, CA	Current employment
WELLS FARGO ADVISORS	Wirehouse	Aug 10, 2020	May 12, 2022	no	SAN FRANCISCO, CA\|CORTE MADERA, CA\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA	Previous registration
STATE FARM INVESTMENT MANAGEMENT CORP.	Asset manager	Jul 31, 2019	Jul 2, 2020	no	S San Francisco, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Dec 9, 2013	Feb 22, 2019	no	San Antonio, TX\|SANTA CLARA, CA\|SAN FRANCISCO, CA\|SAN JOSE, CA\|San Francisco, CA\|SANTA CLARA, CA\|San Francisco, CA\|San Francisco, CA\|San Francisco, CA\|Westlake Village, CA\|San Francisco, CA	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Sep 5, 2013	no	MILLBRAE, CA\|FOSTER CITY, CA\|SAN MATEO, CA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Nov 14, 2011	Oct 1, 2012	no	MILLBRAE, CA\|SAN BRUNO, CA	Previous registration
EDWARD JONES	National bd RIA	Sep 13, 2010	Oct 31, 2011	no	ST LOUIS, MO\|DALY CITY, 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
WELLS FARGO ADVISORS	CETERA INVESTMENT ADVISERS LLC	May 12, 2022	Apr 13, 2022	-29	Firm change	Wirehouse to ibd
STATE FARM INVESTMENT MANAGEMENT CORP.	WELLS FARGO ADVISORS	Jul 2, 2020	Aug 10, 2020	39	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	STATE FARM INVESTMENT MANAGEMENT CORP.	Feb 22, 2019	Jul 31, 2019	159	Firm change	Other
J.P. MORGAN SECURITIES LLC	CITIGROUP GLOBAL MARKETS INC.	Sep 5, 2013	Dec 9, 2013	95	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
EDWARD JONES	CHASE INVESTMENT SERVICES CORP.	Oct 31, 2011	Nov 14, 2011	14	Firm change	Other

Relationships

Registered with (7)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Apr 13, 2022 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Aug 10, 2020 to May 12, 2022factForm ADV
→ STATE FARM INVESTMENT MANAGEMENT CORP.Registered adviserregistration: previous registration
Jul 31, 2019 to Jul 2, 2020factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Dec 9, 2013 to Feb 22, 2019factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Sep 5, 2013factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Nov 14, 2011 to Oct 1, 2012factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Sep 13, 2010 to Oct 31, 2011factForm ADV

Dated events

Occurred
May 12, 2022
Advisor changed firm
Li Huang left Wells Fargo Advisors for Cetera Investment Advisers Llc (registered 2022-04-13)
Form ADVobserved 6 days ago