Tepei 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.
Tepei Liu, who also goes by Tepei Huang, was a registered financial professional .
Tepei is a previously registered financial professional and started their career in finance in 2002. Tepei had worked at 7 firms and has passed the Series 66, Series 7 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2011 - July 31, 2014
CREDIT SUISSE SECURITIES (USA) LLC
October 18, 2011 - July 31, 2014
CREDIT SUISSE SECURITIES (USA) LLC
September 14, 2006 - September 27, 2011
STRATEGIC ADVISERS LLC
August 31, 2006 - September 26, 2011
FIDELITY BROKERAGE SERVICES LLC
July 8, 2004 - September 1, 2006
WINDWARD CAPITAL MANAGEMENT CO
July 8, 2004 - September 1, 2006
S.L. REED & COMPANY
September 12, 2002 - April 1, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
August 29, 2002 - April 1, 2003
IDS LIFE INSURANCE COMPANY
August 29, 2002 - April 1, 2003
AMERIPRISE FINANCIAL SERVICES, 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
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 322 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
