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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

FU LIN

Advisor at CETERA INVESTMENT ADVISERS LLC

ROWLAND HEIGHTS, CA

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Search this name across graphsid dfx:ria:8a8a4cf1-3905-b827-abc3-14a4c1977de4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 0
On other graphs: 0
Observed: Jul 3, 2003 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: Jun 23, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 13
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jun 23, 2003
First registration: Jul 3, 2003
Dual registered: yes, broker-dealer
Other names: DAPHNE LIN|DAPHNE LIN
IAPD individual key: 4594080

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 2, 2017	n/a	yes	ROWLAND HEIGHTS, CA	Current employment
ONEAMERICA SECURITIES, INC.	Bd affiliated wealth	Oct 17, 2016	Sep 29, 2017	no	Diamond Bar, CA\|Diamond Bar, CA\|Glendora, CA	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Jun 28, 2016	Sep 12, 2016	no	Diamond Bar, CA\|El Segundo, CA\|DIAMOND BAR, CA	Previous registration
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Apr 3, 2013	Mar 11, 2016	no	DIAMOND BAR, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Feb 9, 2012	Apr 5, 2013	no	POMONA, CA\|NEW YORK, NY\|POMONA, CA\|ONTARIO, CA\|CHINO HILLS, CA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Sep 8, 2010	Jan 23, 2012	no	HACIENDA HEIGHTS, CA	Previous registration
VOYA FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Dec 15, 2009	Aug 25, 2010	no	ROWLAND HEIGHTS, CA\|SAN GABRIEL, CA\|CITY OF INDUSTRY, CA	Previous registration
CETERA INVESTMENT SERVICES LLC	Former SEC adviser	Mar 3, 2009	Sep 10, 2009	no	CITY OF INDUSTRY, CA\|SAN GABRIEL, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 1, 2007	Oct 31, 2008	no	BREA, CA	Previous registration
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Former SEC adviser	May 30, 2007	Aug 10, 2007	no	IRVINE, CA\|SAN MARINO, CA\|MONTEREY PARK, CA\|WEST COVINA, CA	Previous registration
UVEST FINANCIAL SERVICES GROUP, INC.	n/a	Oct 17, 2006	May 23, 2007	no	ROWLAND HEIGHTS, CA	Previous registration
UVEST FINANCIAL SERVICES GROUP, INC.	n/a	Aug 1, 2005	Oct 6, 2006	no	ROWLAND HEIGHTS, CA\|STATE:, CA	Previous registration
UCB INVESTMENT SERVICES, INC.	n/a	Apr 21, 2004	Jul 19, 2005	no	SAN FRANCISCO, CA	Previous registration
CETERA INVESTMENT SERVICES LLC	Former SEC adviser	Jul 3, 2003	Mar 8, 2004	no	LOS ANGELES, 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
ONEAMERICA SECURITIES, INC.	CETERA INVESTMENT ADVISERS LLC	Sep 29, 2017	Oct 2, 2017	3	Firm change	Other
MML INVESTORS SERVICES, LLC	ONEAMERICA SECURITIES, INC.	Sep 12, 2016	Oct 17, 2016	35	Firm change	Other
SECURITIES AMERICA ADVISORS, INC.	MML INVESTORS SERVICES, LLC	Mar 11, 2016	Jun 28, 2016	109	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	SECURITIES AMERICA ADVISORS, INC.	Apr 5, 2013	Apr 3, 2013	-2	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jan 23, 2012	Feb 9, 2012	17	Firm change	Other
VOYA FINANCIAL ADVISORS, INC.	CHASE INVESTMENT SERVICES CORP.	Aug 25, 2010	Sep 8, 2010	14	Firm change	Other
CETERA INVESTMENT SERVICES LLC	VOYA FINANCIAL ADVISORS, INC.	Sep 10, 2009	Dec 15, 2009	96	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CETERA INVESTMENT SERVICES LLC	Oct 31, 2008	Mar 3, 2009	123	Firm change	Other
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Aug 10, 2007	Oct 1, 2007	52	Firm change	Other
UVEST FINANCIAL SERVICES GROUP, INC.	BANCWEST INVESTMENT SERVICES, INC. (BWIS)	May 23, 2007	May 30, 2007	7	Firm change	Other
UCB INVESTMENT SERVICES, INC.	UVEST FINANCIAL SERVICES GROUP, INC.	Jul 19, 2005	Aug 1, 2005	13	Firm change	Other
CETERA INVESTMENT SERVICES LLC	UCB INVESTMENT SERVICES, INC.	Mar 8, 2004	Apr 21, 2004	44	Firm change	Other

Relationships

Registered with (11)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Oct 2, 2017 to presentfactForm ADV
→ ONEAMERICA SECURITIES, INC.Registered adviserregistration: previous registration
Oct 17, 2016 to Sep 29, 2017factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Jun 28, 2016 to Sep 12, 2016factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Apr 3, 2013 to Mar 11, 2016factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Feb 9, 2012 to Apr 5, 2013factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Sep 8, 2010 to Jan 23, 2012factForm ADV
→ VOYA FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Dec 15, 2009 to Aug 25, 2010factForm ADV
→ CETERA INVESTMENT SERVICES LLCRegistered adviserregistration: previous registration
Mar 3, 2009 to Sep 10, 2009factForm ADV
→ BANCWEST INVESTMENT SERVICES, INC. (BWIS)Registered adviserregistration: previous registration
May 30, 2007 to Aug 10, 2007factForm ADV
→ UVEST FINANCIAL SERVICES GROUP, INC.Registered adviserregistration: previous registration
Oct 17, 2006 to May 23, 2007factForm ADV
→ UCB INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Apr 21, 2004 to Jul 19, 2005factForm ADV

Dated events

No dated event names this entity yet.