Daniel K. Liang
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.
Daniel Kahhong Liang was a registered financial advisor .
Daniel is a previously registered financial advisor and started their career in finance in 1999. Daniel had worked at 3 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 53, Series 4, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2018 - December 2, 2019
E-W INVESTMENTS, INC.
July 2, 2013 - December 17, 2014
HSBC SECURITIES (USA) INC.
October 3, 2005 - December 17, 2014
HSBC SECURITIES (USA) INC.
June 29, 2005 - August 8, 2005
E-W INVESTMENTS, INC.
January 16, 2004 - July 7, 2005
CITICORP INVESTMENT SERVICES
July 16, 1999 - July 2, 2003
E-W INVESTMENTS, INC.
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
E-W INVESTMENTS, INC.
CRD#: 17463 / SEC#: , 8-35259
Contact information
Disclosures
| Regulatory Event | 2 |
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.
