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WL

Wei H. Liu

FINALIS SECURITIES LLC
San Francisco, CA 94104
Some features on this profile are disabled
CRD#: 4091905
WL

Professional summary

Wei Hsieh Liu, CFP®, who also goes by Annie Hsieh, Wei-fang Hsieh, Annie Liu, Wei-fang Liu, is a registered financial professional currently at FINALIS SECURITIES LLC located in San Francisco, California.

Wei is registered as a RR (Registered Representative) and started their career in finance in 2000. Wei has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 9, Series 10 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Annie Hsieh | Wei-Fang Hsieh | Annie Liu | Wei-Fang Liu

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) - BD

Click below to view Wei Hsieh Liu's CRS (Customer Relationship Summary).
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®
CFP®

Certified Financial Planner

Experience

Current

January 2, 2026 - Present

FINALIS SECURITIES LLC

Office #1: 550 California St, Suite 800, San Francisco, CA 94104
BD
CRD#: 305908
San Francisco, CA
Past

July 28, 2021 - October 14, 2022

TD AMERITRADE, INC.

RIA
CRD#: 7870
Bellevue, WA
Past

July 28, 2021 - December 20, 2023

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE
Past

February 12, 2007 - January 10, 2024

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
Bellevue, WA
Past

August 22, 2006 - January 10, 2024

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Bellevue, WA
Past

November 1, 2000 - November 15, 2000

U. S. PACIFIC FINANCIAL SERVICES, INC.

BD
CRD#: 17423
ALHAMBRA, CA
Past

October 19, 2000 - August 24, 2006

CYBERTRADER, INC.

BD
CRD#: 44523
AUSTIN, TX

State Registrations and Notice Filings

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

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
(1/2/2026)
RR
New York
(1/2/2026)
RR
Washington
(1/2/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/27/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/4/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 9/13/2004
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 7/3/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 10/2/2006
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 9/18/2006
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/17/2001
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FINALIS SECURITIES LLC
DEALSYTE SECURITIES LLC | FINALIS SECURITIES LLC

CRD#: 305908 / SEC#: , 8-70425

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
450 Lexington Ave, New York, NY 10017
Mailing Address
228 Park Ave South Suite 85550, New York, NY 10003
Phone number
(800) 962-0418
Established
Delaware since 09/10/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FINALIS, INC.HOLDING COMPANY
BRANT, DAVID ROBERTFINOP2718478
DIGIGLIO, JOSEPH ANDREWCCO4945031
MORA, MICHAEL JOHNCEO2648236

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

FINALIS SECURITIES LLC

CRD#: 305908San Francisco, CA 94104

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