Shixiong 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.
Shixiong Liu, who also goes by Garvin Liu, Halley Liu, Shi XIong Liu, was a registered financial advisor .
Shixiong is a previously registered financial advisor and started their career in finance in 1992. Shixiong had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 27, Series 4 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
August 25, 2010 - October 7, 2011
SEVEN POINTS CAPITAL, LLC
December 17, 2009 - August 4, 2010
MORGAN STANLEY
December 16, 2009 - August 4, 2010
MORGAN STANLEY
November 26, 2007 - December 16, 2009
SEVEN POINTS CAPITAL, LLC
March 29, 2006 - November 8, 2007
EQUITY TRADING ONLINE, LLC
December 3, 1996 - April 12, 2006
PCI*TRADE SECURITIES
July 12, 1994 - March 21, 2001
WHITEHALL-PARKER SECURITIES, INC.
July 16, 1993 - July 11, 1994
REYNOLDS KENDRICK STRATTON, INC.
March 31, 1993 - July 15, 1993
PRUCO SECURITIES, LLC.
March 30, 1992 - October 27, 1992
FIRST CALIFORNIA SECURITIES
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
SEVEN POINTS CAPITAL, LLC
CRD#: 144211 / SEC#: , 8-67644
Contact information
FINRA licenses (3 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
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.
