Tongwei 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.
Tongwei Liu was a registered financial professional .
Tongwei is a previously registered financial professional and started their career in finance in 2001. Tongwei had worked at 4 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2010 - March 1, 2012
DIFFUSION MARKETS, L.L.C.
December 18, 2002 - January 18, 2006
D. E. SHAW INVESTMENTS, L.P.
December 18, 2002 - November 9, 2018
D.E. SHAW SECURITIES, L.L.C.
October 26, 2001 - September 17, 2007
D. E. SHAW VALENCE, L.L.C.
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 55
Date: 11/21/2001
Limited Representative-Equity Trader ExamCurrent Firm
DIFFUSION MARKETS, L.L.C.
CRD#: 151235 / SEC#: , 8-68350
Contact information
Documents
Disclosures
| Regulatory Event | 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.
