New Investor Complaints Against Sunrise Investment’s Celia Zhang

Investor complaints against San Gabriel stockbroker Celia Zhang (CRD# 5918387) allege that she recommended unsuitable investments. Financial Industry Regulatory Authority records show that she is registered with Independent Financial Group, doing business as Sunrise Investment Capital. She is also known as Hui Zhang.

The most recent investor complaint disclosed on Ms. Zhang’s BrokerCheck report was filed in February 2022. It alleges that as a representative of Cetera Investment Services, she recommended an unsuitable annuity investment that resulted in losses. The pending complaint alleges unspecified damages believed to be more than $5,000.

Another investor complaint against Ms. Zhang was filed in June 2021, alleging that as a Cetera rep, she recommended unsuitable real estate investments. This complaint, also pending, alleges unspecified damages believed to be more than $5,000.

FINRA records also describe a complaint filed in January 2022, alleging that as a representative of Cetera Investment Services, she misrepresented an investment in an ARC Healthcare REIT. The complaint alleged damages of at least $5,000, but was denied by the firm.

A 2015 complaint alleged that as a representative of Cetera Investment Services, Ms. Zhang misrepresented material facts relating to a certificate of deposit investment. The complaint reached a settlement of $7,919.

According to the Financial Industry Regulatory Authority, Celia Zhang holds 10 years of securities industry experience. She is affiliated with Independent Financial Group, doing business as Sunrise Investment Capital, in San Gabriel and Diamond Bar, California. Her past registrations include Cetera Investment Services (Alhambra, California; 2013-2020) and Merrill Lynch (Pasadena, California; 2011-2013). Her credentials include the passage of three securities industry qualifying exams: the Uniform Combined State Law Examination, or Series 66; the Securities Industry Essentials Examination, or SIE; and the General Securities Representative Examination, or Series 7. She is presently licensed as a broker in Massachusetts and California. (Information current as of May 13, 2022.)

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