AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
NL

Nick J. Liang

Some features on this profile are disabled
CRD#: 3168199
NL

Professional summary

Nick Jay Liang was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Nick is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Nick had worked at 3 firms, which includes ETECH SECURITIES INC., HANMI SECURITIES INC., FORTUNE SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nick Liang | Qing Liang | Qingtun Liang

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 1, 2000 - March 23, 2010

ETECH SECURITIES, INC.

BD
CRD#: 104195
PASADENA, CA
Past

May 21, 1999 - March 22, 2002

HANMI SECURITIES, INC.

BD
CRD#: 25518
LOS ANGELES, CA
Past

March 10, 1999 - April 16, 1999

FORTUNE SECURITIES, INC.

BD
CRD#: 40821
ALHAMBRA, CA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 5/15/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/15/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 11/14/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 3/9/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 12/17/2001
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 8/11/2001
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/26/1999
General Securities Principal Examination

Current Firm

ES
ETECH SECURITIES, INC.
ETECH SECURITIES, INC.

CRD#: 104195 / SEC#: , 8-52654

BD
Terminated by SEC on 03/23/2010
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
California since 02/25/2000
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LIANG, NICK JAYPRESIDENT/CEO/SECRETARY/SROP3168199
CHING, HANKCHIEF COMPLIANCE OFFICER (NONE OWNERSHIP)1949590

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.

Company Information

ETECH SECURITIES, INC.

CRD#: 104195

TRUST BUT VERIFY

Monitor Nick Liang

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics