Po-shiang D. Lee Liao
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.
Po-shiang Deborah Lee Liao, who also goes by Po-shiang Deborah Lee, Deborah Lee Liao, Deborah Liao, Po-shiang Deborah Lee Liao, was a registered financial professional .
Po-shiang is a previously registered financial professional and started their career in finance in 2001. Po-shiang had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 26, 2013 - September 20, 2016
AVANTAX ADVISORY SERVICES
February 28, 2012 - December 31, 2017
AVANTAX INVESTMENT SERVICES, INC.
March 21, 2007 - December 31, 2011
AMERICAN INVESTORS COMPANY
January 4, 2006 - December 31, 2011
AMERICAN INVESTORS COMPANY
March 24, 2003 - December 21, 2005
PRUCO SECURITIES, LLC.
December 11, 2001 - December 21, 2005
PRUCO SECURITIES, LLC.
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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
