Mindy DoCRD Number: 7121558
Current Firm: Cetera Investment Advisers LLC
Mindy Do (CRD# 7121558) is an Investment Advisor Representative working at Cetera Investment Advisers LLC in Santa Ana, CA and has over 3 years of experience in the finance industry.
Raymond James & Associates, Inc.
Dorman Skorheim Wealth Management LLC
Baker Jensen Investment Advisors, LLC
|Cetera Financial Specialists LLC||Schaumburg, IL||Oct 2019 - Current||3|
|Cetera Investment Advisers LLC||Schaumburg, IL||Oct 2019 - Current||3|
|Avatar Machine LLC||Fountain Valley, CA||Apr 2019 - Current||3|
|Tax And Finance Solutions, LLC||Santa Ana, CA||Jan 2017 - Current||6|
|Cetera Financial Specialists LLC||Schaumburg, IL||Jun 2019 - Oct 2019||< 1|
|Tl Machine, Inc.||Garden Grove, CA||May 2013 - Sep 2017||4|
|Lotus Management Holding, LLC||Rosemead, CA||Feb 2007 - Dec 2014||7|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Oct 2019|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved.Get Details on the FINRA Advisor Check site
Total Assets Under Management35,762MILLIONS
Total Number of Accounts169,758ACCOUNTS
Average Account Value$210,662
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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