Dave Liang
Professional summary
Dave Liang was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dave is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Dave had worked at 4 firms, which includes U.S. BROKERAGE INC., TORREY PINES SECURITIES INC., KIRLIN SECURITIES INC., HAMPTON-PORTER INVESTMENT BANKERS A CALIFORNIA LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 28, 2001 - June 7, 2006
U.S. BROKERAGE, INC.
December 1, 2000 - March 12, 2001
TORREY PINES SECURITIES, INC.
May 25, 2000 - November 29, 2000
KIRLIN SECURITIES INC.
March 24, 2000 - May 19, 2000
HAMPTON-PORTER, INVESTMENT BANKERS, A CALIFORNIA LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
U.S. BROKERAGE, INC.
CRD#: 39307 / SEC#: , 8-48635
Contact information
FINRA licenses (29 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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