Edward C. 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.
Edward C Liu, who also goes by Chun Ku Liu, was a registered financial advisor .
Edward is a previously registered financial advisor and started their career in finance in 1991. Edward had worked at 14 firms and has passed the Series 65, Series 63, Series 7 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 12, 2010 - May 31, 2012
FORESTERS EQUITY SERVICES, INC.
January 7, 2010 - May 31, 2012
FORESTERS EQUITY SERVICES, INC.
February 25, 2009 - December 24, 2009
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
February 25, 2009 - December 24, 2009
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 17, 2002 - February 10, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 11, 2002 - February 10, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 15, 2001 - June 12, 2002
WELLS FARGO INVESTMENTS, LLC
May 2, 2001 - June 12, 2002
WELLS FARGO INVESTMENTS, LLC
May 4, 2000 - May 2, 2001
WELLS FARGO SECURITIES INC.
July 27, 1998 - May 1, 2000
WAMU INVESTMENTS, INC.
June 6, 1997 - June 9, 1998
MUTUAL SECURITIES, INC.
September 18, 1996 - June 6, 1997
CHASE INVESTMENT SERVICES CORP.
June 7, 1996 - September 18, 1996
CHEMICAL INVESTMENT SERVICES CORP.
October 10, 1995 - June 6, 1996
PRIME CAPITAL SERVICES, INC.
June 8, 1994 - January 25, 1995
PMG SECURITIES CORPORATION
August 28, 1992 - May 24, 1994
CITICORP INVESTMENT SERVICES
April 8, 1992 - August 14, 1992
AMERIPRISE ADVISOR SERVICES, INC.
November 4, 1991 - February 21, 1992
TAMARON INVESTMENTS, INC.
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
FORESTERS EQUITY SERVICES, INC.
CRD#: 18464 / SEC#: 801-77880, 8-36703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE INDEPENDENT ORDER OF FORESTERS ("IOF") | OWNER | |
| GERB, JASON HARRIS | CHIEF COMPLIANCE OFFICER | 3021815 |
| GIL, JUDITH ELAINE | VICE PRESIDENT COMPLIANCE | 2707895 |
| MALECHUK, LAURA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1105982 |
| MCDONOUGH, MARK E | VP OPERATIONS | 4254608 |
| REABURN, PAUL DOUGLAS | DIRECTOR | 4125521 |
| SMITH, FRANK LEO | PRESIDENT | 2080590 |
| SMITH, FRANK LEO | DIRECTOR | 2080590 |
Disclosures
| Regulatory Event | 2 |
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.
