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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)20 years in industry

STEPHANIE YUEN HWEI TSANG

Advisor at CETERA INVESTMENT ADVISERS LLC

SCOTTSDALE, AZ | SAN DIEGO, CA

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Search this name across graphsid dfx:ria:d4473bc5-573c-dd8e-3cb4-8da4aca317a9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 13, 2006 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: Jan 1, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Designations: Certified Financial Planner|Chartered Financial Consultant
Exams: S66
First exam: Mar 15, 2006
First registration: Nov 13, 2006
Dual registered: yes, broker-dealer
IAPD individual key: 5082866

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	Aug 10, 2023	n/a	yes	SCOTTSDALE, AZ\|SAN DIEGO, CA	Current employment
SECURIAN FINANCIAL SERVICES, INC.	Former SEC adviser	Oct 12, 2012	Aug 10, 2023	no	San Diego, CA\|TUCSON, AZ\|Scottsdale, AZ\|Scottsdale, AZ\|ST. PAUL, MN	Previous registration
CRI SECURITIES, LLC	Former SEC adviser	Jan 7, 2010	Oct 20, 2021	no	SAN DIEGO, CA\|TUCSON, AZ\|Scottsdale, AZ\|Scottsdale, AZ	Previous registration
MARATHON ADVISORS, INC	n/a	Jan 2, 2008	Sep 10, 2008	no	MINNEAPOLIS, MN	Previous registration
MARATHON ADVISORS, INC	n/a	Nov 13, 2006	Dec 31, 2007	no	MINNEAPOLIS, MN	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
SECURIAN FINANCIAL SERVICES, INC.	CETERA INVESTMENT ADVISERS LLC	Aug 10, 2023	Aug 10, 2023	0	Bulk transfer	RIA to ibd
CRI SECURITIES, LLC	SECURIAN FINANCIAL SERVICES, INC.	Oct 20, 2021	Oct 12, 2012	-3,295	Bulk transfer	Other
MARATHON ADVISORS, INC	CRI SECURITIES, LLC	Sep 10, 2008	Jan 7, 2010	484	Firm change after gap	Other

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Aug 10, 2023 to presentfactForm ADV
→ SECURIAN FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Oct 12, 2012 to Aug 10, 2023factForm ADV
→ CRI SECURITIES, LLCRegistered adviserregistration: previous registration
Jan 7, 2010 to Oct 20, 2021factForm ADV
→ MARATHON ADVISORS, INCRegistered adviserregistration: previous registration
Jan 2, 2008 to Sep 10, 2008factForm ADV

Dated events

No dated event names this entity yet.