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.

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

Nov 22, 2002earliest registration or exam on IAPD

Years in industry

23derivedfrom the industry start date

Years at current firm

4derivedfrom the current registration's begin date

Prior firms

3

Current registrations

1

Registered states

1

Exams

S63|S66

First exam

Nov 22, 2002

First registration

Aug 20, 2013

Dual registered

yes, broker-dealer

Other names

LILLY L TUNG

IAPD individual key

4607284

• Occurred

  Jan 14, 2022
  Advisor changed firm

  Lilly Tung left Hsbc Securities (Usa) Inc. for Cetera Investment Advisers Llc (registered 2022-02-02)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:a38e09e5-ade0-88d4-49bd-e803cd03ebe7

First observed

Aug 20, 2013

Last observed

Sep 14, 2026 5 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.