John H. 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.
John H Liu, who also goes by Jeng Hann Liu, John H Liu, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1994. John had worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2023 - May 24, 2024
EMPOWER ADVISORY GROUP, LLC
January 3, 2023 - May 24, 2024
EMPOWER FINANCIAL SERVICES, INC.
October 18, 2021 - December 15, 2022
CHARLES SCHWAB & CO., INC.
May 18, 2018 - October 18, 2021
SCHWAB WEALTH ADVISORY, INC.
February 6, 2013 - May 21, 2018
CHARLES SCHWAB & CO., INC.
October 31, 2012 - December 15, 2022
CHARLES SCHWAB & CO., INC.
June 8, 2007 - December 31, 2007
USAA INVESTMENT SERVICES COMPANY
June 8, 2007 - December 31, 2007
USAA INVESTMENT SERVICES COMPANY
November 21, 2006 - November 7, 2009
USAA FINANCIAL PLANNING SERVICES
November 21, 2006 - November 7, 2009
USAA FINANCIAL ADVISORS, INC.
September 30, 2002 - November 21, 2006
USAA INVESTMENT SERVICES COMPANY
September 27, 2002 - November 21, 2006
USAA INVESTMENT SERVICES COMPANY
February 25, 2000 - August 23, 2002
FROST BROKERAGE SERVICES, INC.
September 15, 1994 - March 8, 2000
CITICORP INVESTMENT SERVICES
Primary Firm SEC Registration
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
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
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 250,707 |
| AUM (Assets Under Management) | $ 159,120,330,491 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/28/2025 | ||
| 11/21/2023 |
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.
