Wei H. Liu
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.
Wei Hsieh Liu, CFP®, who also goes by Annie Hsieh, Wei-fang Hsieh, Annie Liu, Wei-fang Liu, was a registered financial professional .
Wei is a previously registered financial professional and started their career in finance in 2000. Wei had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 9, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 28, 2021 - October 14, 2022
TD AMERITRADE, INC.
July 28, 2021 - December 20, 2023
TD AMERITRADE, INC.
February 12, 2007 - January 10, 2024
CHARLES SCHWAB & CO., INC.
August 22, 2006 - January 10, 2024
CHARLES SCHWAB & CO., INC.
November 1, 2000 - November 15, 2000
U. S. PACIFIC FINANCIAL SERVICES, INC.
October 19, 2000 - August 24, 2006
CYBERTRADER, 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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 144 |
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.
