Liying A. Wang
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.
Liying Aldred Wang, who also goes by Dave May, David Aldred May, David Alfred May, was a registered financial professional .
Liying is a previously registered financial professional and started their career in finance in 1970. Liying had worked at 9 firms and has passed the Series 63, Series 1, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 1987 - June 16, 1987
INVESTORS SECURITY COMPANY, INC.
June 19, 1986 - April 13, 1987
INTEGRATED RESOURCES EQUITY CORPORATION
December 24, 1984 - March 28, 1985
LANE, MCNALLY & JACKSON, INC.
September 6, 1984 - October 15, 1984
JHM, INC.
October 15, 1982 - December 27, 1983
HERETH, ORR & JONES, INC.
October 12, 1976 - October 8, 1977
FIRST CITIZENS MUNICIPAL CORPORATION
July 9, 1976 - December 27, 1983
HERETH, ORR & JONES, INC.
November 30, 1973 - June 10, 1975
KIDDER PEABODY
July 7, 1971 - August 28, 1972
HIBBARD, O'CONNOR & WEEKS, INC.
November 13, 1970 - July 25, 1971
TOWER SQUARE SECURITIES, 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
Series 1
Date: 11/7/1970
Registered Representative ExaminationF04
Date: 5/24/1978
Financial Principal ExaminationSeries 40
Date: 5/24/1978
Registered Principal ExaminationCurrent Firm
INVESTORS SECURITY COMPANY, INC.
CRD#: 2331 / SEC#: 801-57968, 8-12111
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOLLOWAY, CHRISTOPHER MATTHEW | PRESIDENT/CHIEF COMPLIANCE OFFICER | 3124769 |
Disclosures
| Regulatory Event | 16 |
| Civil Event | 1 |
| Arbitration | 1 |
| Bond | 1 |
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.
