LILY KARYING TAN is currently employed as a Broker and/or Investment Adviser at CETERA ADVISORS LLC located at 2901 MOOREPARKE AVE #265, SAN JOSE, CA, 95128.
LILY KARYING TAN has worked at CETERA ADVISORS LLC since November 21, 2013
Disclosure History
LILY KARYING TAN has 2 Disclosure Event(s).
Date: February 09, 2016 Category: Customer Dispute Allegations: Misrepresentation in expected rate of return for a variable annuity in connection with required minimum distribution the client removed from the product. Damage Amount Requested: $29,957.89 Broker Comment: The client believe this was an issue with Jackson National Insurance but I was the rep of record so this was placed on my U4.
Date: February 06, 2008 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT WHEN HE PURCHASED HIS VARIABLE ANNUITIES IN SEPTEMBER AND NOVEMBER 2006, HE WAS TOLD THAT HE COULD WITHDRAW 10% OF THE PRINCIPAL EACH YEAR BEGINNING WITH THE END OF THE FIRST YEAR. NO SPECIFIC COMPENSATORY DAMAGES WERE ALLEGED.
More Information
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