Alice W. Liang
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.
Alice Wen Chi Liang, CFP®, who also goes by Alice Wen Chi Liang, Alice Wen-chi Liang, Alice Liang, Alice Wen Chi Liang, was a registered financial professional .
Alice is a previously registered financial professional and started their career in finance in 2004. Alice had worked at 9 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 31, Series 7 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
Start date: 2011
Experience
December 22, 2021 - August 8, 2023
CITY NATIONAL SECURITIES, INC.
December 22, 2021 - August 8, 2023
CITY NATIONAL SECURITIES, INC.
August 7, 2019 - November 16, 2021
HSBC SECURITIES (USA) INC.
August 7, 2019 - November 16, 2021
HSBC SECURITIES (USA) INC.
December 12, 2016 - April 9, 2019
U.S. BANCORP ADVISORS, LLC
December 8, 2016 - April 9, 2019
U.S. BANCORP ADVISORS, LLC
September 25, 2015 - November 28, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 25, 2015 - November 28, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 24, 2014 - September 23, 2015
ADVICEBRIDGE, INC.
August 13, 2013 - October 4, 2013
PFS INVESTMENTS INC.
August 1, 2013 - October 4, 2013
PFS INVESTMENTS INC.
December 3, 2010 - September 6, 2011
MORGAN STANLEY
November 5, 2010 - September 6, 2011
MORGAN STANLEY
December 7, 2005 - November 21, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 25, 2004 - September 8, 2004
CITICORP INVESTMENT SERVICES
Primary Firm SEC Registration
CITY NATIONAL SECURITIES, INC.
CRD#: 103705 / SEC#: 801-71181, 8-52265
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
CITY NATIONAL SECURITIES, INC.
CRD#: 103705 / SEC#: 801-71181, 8-52265
Contact information
SEC notice filing (31 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITY NATIONAL BANK | SOLE SHAREHOLDER | |
| BANUELOS, ALMA DELIA | BOARD MEMBER | 4530705 |
| BARTON, RICHARD JOSEPH | CHIEF COMPLIANCE OFFICER | 2040869 |
| BRETADO, SANTIAGO AVILA | VP, CFO | 1945627 |
| DANIEL, JOBY SWANKUTTY | BOARD DIRECTOR | 6616727 |
| GIAQUINTO, GREGG | BOARD DIRECTOR | 3182583 |
| O'KEEFFE, IVOR PATRICK | BOARD DIRECTOR | 2397120 |
| RILEY, SHAWN DAVID | BOARD DIRECTOR | 7574191 |
Regulatory assets under management
| Total Number of Accounts | 2,004 |
| AUM (Assets Under Management) | $ 1,591,349,877 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/27/2023 |
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.
