LL
Li Liu
HIGHLANDS ASSET MANAGEMENT
HIGHLANDS RANCH, CO
Some features on this profile are disabled
CRD#: 4661100
LL
Professional summary
Li Liu, CFA is a registered financial advisor currently at HIGHLANDS ASSET MANAGEMENT, INC. located in Highlands Ranch, Colorado.
Li is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Li has worked at 1 firm .
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Li Liu's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
May 14, 2003 - Present
HIGHLANDS ASSET MANAGEMENT, INC.
RIA
CRD#: 126850
HIGHLANDS RANCH, CO
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Colorado(5/14/2003)
Exams
Current Firm
HA
HIGHLANDS ASSET MANAGEMENT, INC.
HIGHLANDS ASSET MANAGEMENT, INC. | HIGHLANDS ASSET MANAGEMENT,INC.
CRD#: 126850 / SEC#:
Colorado
Registered Investment Advisory firm - (5/14/2003 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
9635 S Silverberry Circle, Highlands Ranch, CO 80129
Mailing Address
Phone number
(303) 470-6773
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 11 |
| AUM (Assets Under Management) | $ 2,285,122 |
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.
