Chun 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.
Chun H Liu, who also goes by Chun H Liu Mr., Chun Hay Liu, was a registered financial professional .
Chun is a previously registered financial professional and started their career in finance in 1994. Chun had worked at 8 firms and has passed the SIE, Series 7, Series 14 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2015 - May 2, 2018
CREDIT SUISSE SECURITIES (USA) LLC
November 1, 2010 - December 18, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 5, 2010 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
January 11, 2007 - December 17, 2009
DEUTSCHE BANK SECURITIES INC.
October 2, 1997 - May 15, 2000
TD SECURITIES (USA) LLC
January 14, 1997 - September 29, 1997
CITIGROUP GLOBAL MARKETS INC.
October 15, 1996 - November 1, 1996
PRUCO SECURITIES, LLC.
June 27, 1994 - January 17, 1996
GLICKENHAUS & CO.
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
Series 8
Date: 3/30/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 322 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
