James Liu
Professional summary
James Liu, who also goes by James Yiming Liu, is a registered financial advisor currently at HOLDEN WEALTH MANAGEMENT LLC located in Los Angeles, California.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. James has worked at 6 firms and has passed the Series 66, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Liu's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 8, 2019 - Present
HOLDEN WEALTH MANAGEMENT LLC
March 13, 2012 - December 31, 2018
HOLDEN WEALTH MANAGEMENT LLC
October 1, 2010 - March 8, 2012
UBS FINANCIAL SERVICES INC.
September 30, 2010 - March 8, 2012
UBS FINANCIAL SERVICES INC.
January 6, 2010 - October 20, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 7, 2009 - October 20, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 17, 1993 - January 24, 1994
BANC ONE CAPITAL MARKETS, INC.
November 5, 1990 - February 27, 1992
CITICORP SECURITIES, INC.
February 23, 1988 - March 6, 1989
ALEX. BROWN & SONS INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/8/2019)
Exams
Current Firm
HOLDEN WEALTH MANAGEMENT LLC
CRD#: 161190 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 17,800,000 |
Red Flags
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