Mark G Lim Liu
Professional Summary
Mark G Lim Liu, who also goes by Mark Glim Liu, is a registered financial advisor currently at ARDENT CAPITAL located in Mountain View, California. Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Mark has worked at 2 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Mark Glim Liu
Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
FALCON WEALTH PLANNING, LLC
J.P. MORGAN SECURITIES LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
FALCON WEALTH PLANNING, LLC
J.P. MORGAN SECURITIES LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
FALCON WEALTH PLANNING, LLC
J.P. MORGAN SECURITIES LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
FALCON WEALTH PLANNING, LLC
J.P. MORGAN SECURITIES LLC
Years of Experience
31 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
FALCON WEALTH PLANNING, LLC
J.P. MORGAN SECURITIES LLC
Current Firm
ARDENT CAPITAL | ARDENT CAPITAL INCORPORATION | ARDENT CAPITAL INC
Contact Information
Main Address
2680 Bayshore Parkway Suite 307, Mountain View, CA 94043Mailing Address
221 Main Street Suite 455, Los Altos, CA 94023Phone Number
(650) 887-4318# of Employees
1Documents
Regulatory Assets Under Management
Total Number of Accounts
92AUM (Assets Under Management)
$58,800,000Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
FALCON WEALTH PLANNING, LLC
J.P. MORGAN SECURITIES LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
FALCON WEALTH PLANNING, LLC
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
(4/13/2005)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Sep 1997Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
FALCON WEALTH PLANNING, LLC
J.P. MORGAN SECURITIES LLC
CRS (Client Relationship Summary) - RIA
Click below to view Mark G Lim Liu's CRS (Customer Relationship Summary).
Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
FALCON WEALTH PLANNING, LLC
J.P. MORGAN SECURITIES LLC