Fiona L. French
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.
Fiona Liu French, who also goes by Fiona Chi Yan French, Fiona Chi Yan Liu, was a registered financial professional .
Fiona is a previously registered financial professional and started their career in finance in 2004. Fiona had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2015 - December 13, 2016
OCM INVESTMENTS, LLC
August 17, 2012 - March 4, 2013
FPA FUND DISTRIBUTORS, INC.
December 19, 2007 - July 20, 2012
NUVEEN SECURITIES, LLC
December 1, 2005 - February 7, 2007
FRANKLIN DISTRIBUTORS, LLC
October 6, 2004 - December 1, 2005
LEGG MASON WOOD WALKER, INCORPORATED
April 27, 2004 - September 10, 2004
SINOPAC FINANCIAL SERVICES (USA) LTD.
January 7, 2004 - April 19, 2004
NATIONAL PLANNING CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
OCM INVESTMENTS, LLC
CRD#: 128803 / SEC#: , 8-66176
Contact information
FINRA licenses (52 States and Territories)
Red Flags
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