LY
Laura L. Yick
CITIZENS SECURITIES
SAN FRANCISCO, CA 94111
Some features on this profile are disabled
CRD#: 2938540
LY
Professional summary
Laura Liu Yick, who also goes by Laura Janwoo Liu, Laura Liu, Laura Janwoo Liu Yick, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in San Francisco, California.
Laura is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Laura has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 24 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Laura Janwoo Liu | Laura Liu | Laura Janwoo Liu Yick
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.
Aliomanu Estates Board of Directors - director - condo association - HOA is located in Kauai. Start date: 02/15/2025. Rental Property - own and manage rental property in San Francisco. Start date: 2004.
CRS (Client Relationship Summary) - RIA
Click below to view Laura Liu Yick's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Laura Liu Yick'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®
NoneExperience
Current
February 26, 2025 - Present
CITIZENS SECURITIES, INC.
Office #1: 101 California Street, San Francisco, CA 94111RIA
BD
CRD#: 39550
SAN FRANCISCO, CA
Current
February 26, 2025 - Present
CITIZENS SECURITIES, INC.
Office #1: 200 Station Drive, Westwood, MA 02090RIA
BD
CRD#: 39550
Westwood, MA
Past
May 28, 2024 - July 13, 2024
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
San Francisco, CA
Past
September 29, 2023 - July 13, 2024
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
San Francisco, CA
Past
October 24, 2017 - July 17, 2024
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
RIA
CRD#: 108559
San Francisco, CA
Past
October 23, 2017 - September 29, 2023
FIRST REPUBLIC SECURITIES COMPANY, LLC
BD
CRD#: 105108
San Francisco, CA
Past
February 3, 2017 - October 17, 2017
REALTYSHARES SECURITIES, LLC
BD
CRD#: 283560
San Fransico, CA
Past
January 22, 2014 - May 15, 2015
MORGAN STANLEY
RIA
CRD#: 149777
CUPERTINO, CA
Past
January 22, 2014 - May 15, 2015
MORGAN STANLEY
BD
CRD#: 149777
CUPERTINO, CA
Past
March 8, 2012 - December 20, 2013
MERRIMAN CAPITAL, INC.
BD
CRD#: 18296
NEW YORK, NY
Past
May 7, 2007 - December 14, 2011
THINKEQUITY LLC
RIA
CRD#: 44274
SAN FRANCISCO, CA
Past
May 7, 2007 - December 14, 2011
THINKEQUITY LLC
BD
CRD#: 44274
SAN FRANCISCO, CA
Past
June 23, 2004 - April 17, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
PALO ALTO, CA
Past
June 17, 2004 - April 17, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
PALO ALTO, CA
Past
April 23, 2001 - July 17, 2002
ROBERTSON STEPHENS, INC.
BD
CRD#: 41271
SAN FRANCISCO, CA
Past
October 16, 1997 - April 19, 2001
JPMSI
BD
CRD#: 15733
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(2/26/2025)
IAR
California(2/26/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Citizens Bank Way Jcb135, Johnston, RI 02043
Mailing Address
200 Station Drive Mws414, Westwood, MA 02090
Phone number
(781) 364-1641
Established
Rhode Island since 09/21/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
418
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 53,044 |
| AUM (Assets Under Management) | $ 9,188,004,183 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 6 |
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.
