Jack X. Liu

OPTIONS BEST FINANCIAL

Gardnerville, NV

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CRD#: 2437713

Professional summary

Jack Xiaosui Liu is a registered financial advisor currently at OPTIONS BEST FINANCIAL located in Gardnerville, Nevada.

Jack is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Jack has worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jack Xiaosui Liu's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 29, 2019 - Present

OPTIONS BEST FINANCIAL

RIA

CRD#: 301027

Gardnerville, NV

Past

February 28, 2014 - December 31, 2018

GPS CAPITAL MANAGEMENT, LLC

RIA

CRD#: 136330

SAN RAMON, CA

Past

July 13, 2009 - February 12, 2014

SCOTTRADE, INC.

CRD#: 8206

ALHAMBRA, CA

Past

September 7, 2005 - May 6, 2009

E*TRADE SECURITIES LLC

CRD#: 29106

NEW YORK, NY

Past

April 20, 1999 - August 29, 2005

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

FLUSHING, NY

Past

December 6, 1994 - August 29, 2005

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

January 5, 1994 - December 13, 1994

FIRST LINCOLN INVESTMENTS, INC.

CRD#: 7076

LINCOLN, NE

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Nevada
(3/25/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/11/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/11/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/4/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/4/2005

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 3/5/1997

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

OPTIONS BEST FINANCIAL

LIU, JACK, XIAOSUI | OPTIONS BEST FINANCIAL

CRD#: 301027 / SEC#:

California

Registered Investment Advisory firm - (5/6/2023 Terminated)

Nevada

Registered Investment Advisory firm - (3/23/2021 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Gardnerville, NV

Mailing Address

Phone number

(848) 248-1866

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	3
AUM (Assets Under Management)	$ 4,000,000

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.

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Firm Stability Insights

Jack X. Liu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jack Xiaosui Liu's CRS (Customer Relationship Summary).

Certified licenses

Experience

GPS CAPITAL MANAGEMENT, LLC

SCOTTRADE, INC.

E*TRADE SECURITIES LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

FIRST LINCOLN INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/11/1994

Series 63

Date: 1/11/1994

Series 7

Date: 1/4/1994

Series 24

Date: 10/4/2005

Series 8

Date: 3/5/1997

Current Firm

OPTIONS BEST FINANCIAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

OPTIONS BEST FINANCIAL

TRUST BUT VERIFY

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