Sapphira Xiaopan Wang Chow
Investment Adviser Representative at Cetera Investment Advisers LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Sapphira Xiaopan Wang Chow is an investment adviser representative with Cetera Investment Advisers LLC in City of Industry, CA, where they have been registered since 2023. They have worked in the securities industry since 2014. They have passed 5 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in California.
Registrations & licenses
- Investment adviser:
- California
- Broker:
2 states and territories
California, Oregon
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- JP Morgan Securities LLCFeb 2014 – Jun 2021South Pasadena, CA
- JP Morgan Chase BANKJun 2012 – Jun 2021South Pasadena, CA
- ESHE, IncFeb 2018 – Feb 2019Hacienda Heights, CA
- Cetera Investment Services LLCMar 2021 – Jun 2023St Cloud, MN
- East West BankMar 2021 – Jun 2023Pasadena, CA
- Cetera Investment Advisers LLCJun 2021 – Jun 2023Pasadena, CA
- CTBC BANKAug 2023 – no end date reportedCity Of Industry, CA
- Cetera Investment Services LLCAug 2023 – no end date reportedSt Cloud, MN
- Cetera Investment Advisers LLCAug 2023 – no end date reportedCity Of Industry, CA
Official records & sources
Data as of June 28, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Cetera Investment Advisers LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Advisory services, investment advisory services, custody services, insurance agency services, sweep programs, and retirement planning resources, along with access to registered and alternative investment products.
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 10,459
- Offices listed on AdvisorFinder:
- 27
- Main office:
- Schaumburg, IL
- SEC file number:
- 801-20406
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of August 13, 2026
View full firm profileOther advisors at Cetera Investment Advisers LLC
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Sapphira Xiaopan Wang Chow has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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