Ralph Y. Liu
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ralph Y Liu, who also goes by Ralph Yieh Min Liu, Ralph Yiehmin Liu, was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1987. Ralph had worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2022 - December 21, 2023
INTEGRITY ADVISERS LLC
November 18, 2021 - January 15, 2024
INTEGRITY BROKERAGE, LLC
October 18, 2018 - December 31, 2019
E-W INVESTMENTS, INC.
March 10, 2017 - October 11, 2017
KEY WEST INVESTMENTS, LLC
October 14, 2013 - March 16, 2015
HUNTER WISE SECURITIES, LLC
April 30, 2012 - October 12, 2012
VERTICAL CAPITAL SECURITIES, LLC
June 14, 2010 - June 24, 2011
WORLD GROUP SECURITIES, INC.
May 15, 2009 - June 4, 2009
GENESIS GLOBAL TRADING, INC
January 2, 2009 - February 20, 2009
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
September 19, 2002 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 11, 2002 - February 20, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 29, 2002 - September 18, 2002
A. G. EDWARDS & SONS, INC.
April 29, 2002 - September 18, 2002
A. G. EDWARDS & SONS, INC.
December 14, 2001 - April 1, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 29, 1992 - December 31, 1993
UBS SECURITIES LLC
August 19, 1991 - April 24, 1992
EQUITABLE DISTRIBUTORS, LLC
October 20, 1987 - June 12, 1989
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
INTEGRITY ADVISERS LLC
CRD#: 310757 / SEC#:
Contact information
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| California | ERA - Withdrawn | 9/8/2020 |
| Washington | ERA - Withdrawn | 9/8/2020 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
