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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)23 years in industry

PHILIP FU-PEI CHAO

Advisor at CETERA INVESTMENT ADVISERS LLC

PATTERSON, CA

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Search this name across graphsid dfx:ria:a9cd7f2d-4d49-b930-3f5b-8f74b33a0b03

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 14, 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: Oct 11, 2002earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66
First exam: Oct 11, 2002
First registration: Apr 14, 2003
Dual registered: yes, broker-dealer
IAPD individual key: 4568140

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	Jun 29, 2023	n/a	yes	PATTERSON, CA	Current employment
VOYA FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Jun 15, 2006	Jun 9, 2021	no	TUCSON, AZ\|PATTERSON, CA\|SAN RAMON, CA\|PLEASANTON, CA\|TEMECULA, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Aug 27, 2004	Jun 12, 2006	no	CASTRO VALLEY, CA\|OAKLAND, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Apr 14, 2003	Aug 30, 2004	no	HAYWARD, 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
VOYA FINANCIAL ADVISORS, INC.	CETERA INVESTMENT ADVISERS LLC	Jun 9, 2021	Jun 29, 2023	750	Bulk transfer	Ibd to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	VOYA FINANCIAL ADVISORS, INC.	Jun 12, 2006	Jun 15, 2006	3	Firm change	Other
MORGAN STANLEY DW INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Aug 30, 2004	Aug 27, 2004	-3	Firm change	Other

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ VOYA FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Jun 15, 2006 to Jun 9, 2021factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Aug 27, 2004 to Jun 12, 2006factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Apr 14, 2003 to Aug 30, 2004factForm ADV

Dated events

No dated event names this entity yet.