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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

CHANG SOO HAN

Advisor at CETERA INVESTMENT ADVISERS LLC

DULUTH, GA

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Search this name across graphsid dfx:ria:db7ce7d8-9a08-c136-0510-5c8623ba6eb1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 30, 2002 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: Nov 7, 1991earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Nov 7, 1991
First registration: Jul 30, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 1048237

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	Nov 4, 2020	n/a	yes	DULUTH, GA	Current employment
FIRST ALLIED ADVISORY SERVICES, INC.	Former SEC adviser	Jul 2, 2012	Nov 12, 2020	no	DULUTH, GA	Previous registration
FIRST ALLIED SECURITIES, INC.	Former SEC adviser	Aug 21, 2007	Jul 2, 2012	no	DULUTH, GA\|SAN DIEGO, CA\|PASADENA, CA	Previous registration
CENTAURUS FINANCIAL, INC.	Bd affiliated wealth	May 14, 2004	Sep 10, 2007	no	NORWOOD, NJ	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Jul 30, 2002	Jun 4, 2004	no	NEW JERSEY, NJ	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
FIRST ALLIED ADVISORY SERVICES, INC.	CETERA INVESTMENT ADVISERS LLC	Nov 12, 2020	Nov 4, 2020	-8	Bulk transfer	Ibd to ibd
FIRST ALLIED SECURITIES, INC.	FIRST ALLIED ADVISORY SERVICES, INC.	Jul 2, 2012	Jul 2, 2012	0	Bulk transfer	Other
CENTAURUS FINANCIAL, INC.	FIRST ALLIED SECURITIES, INC.	Sep 10, 2007	Aug 21, 2007	-20	Firm change	Other
EQUITABLE ADVISORS, LLC	CENTAURUS FINANCIAL, INC.	Jun 4, 2004	May 14, 2004	-21	Firm change	Other

Relationships

Registered with (5)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Nov 4, 2020 to presentfactForm ADV
→ FIRST ALLIED ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Jul 2, 2012 to Nov 12, 2020factForm ADV
→ FIRST ALLIED SECURITIES, INC.Registered adviserregistration: previous registration
Aug 21, 2007 to Jul 2, 2012factForm ADV
→ CENTAURUS FINANCIAL, INC.Registered adviserregistration: previous registration
May 14, 2004 to Sep 10, 2007factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Jul 30, 2002 to Jun 4, 2004factForm ADV

Dated events

No dated event names this entity yet.