Alice W. Liang

DEUTSCHE BANK SECURITIES

SAN FRANCISCO, CA 94111

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CRD#: 4763269

Professional summary

Alice Wen Chi Liang, CFP®, who also goes by Alice W Liang, Alice Wen-chi Liang, Alice Liang, Alice Wen Chi Liang, is a registered financial professional currently at DEUTSCHE BANK SECURITIES INC. located in San Francisco, California.

Alice is registered as a RR (Registered Representative) and started their career in finance in 2004. Alice has worked at 10 firms and has passed the Series 63, Series 66, Series 6TO, SIE, Series 31, Series 7 and Series 6 exams.

Aliases

Alice W Liang | Alice Wen-Chi Liang | Alice Liang | Alice Wen Chi Liang

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alice Wen Chi Liang's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2011

Experience

Current

November 24, 2025 - Present

DEUTSCHE BANK SECURITIES INC.

Office #1: 101 California Street, San Francisco, CA 94111

RIA

CRD#: 2525

SAN FRANCISCO, CA

Past

December 22, 2021 - August 8, 2023

CITY NATIONAL SECURITIES, INC.

RIA

CRD#: 103705

BEVERLY HILLS, CA

Past

December 22, 2021 - August 8, 2023

CITY NATIONAL SECURITIES, INC.

CRD#: 103705

BEVERLY HILLS, CA

Past

August 7, 2019 - November 16, 2021

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

BEVERLY HILLS, CA

Past

August 7, 2019 - November 16, 2021

HSBC SECURITIES (USA) INC.

CRD#: 19585

BEVERLY HILLS, CA

Past

December 12, 2016 - April 9, 2019

U.S. BANCORP ADVISORS, LLC

CRD#: 14455

SAN JOSE, CA

Past

December 8, 2016 - April 9, 2019

U.S. BANCORP ADVISORS, LLC

RIA

CRD#: 14455

SAN JOSE, CA

Past

September 25, 2015 - November 28, 2015

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

MOUNTAIN VIEW, CA

Past

September 25, 2015 - November 28, 2015

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

MOUNTAIN VIEW, CA

Past

March 24, 2014 - September 23, 2015

ADVICEBRIDGE, INC.

RIA

CRD#: 166111

CUPERTINO, CA

Past

August 13, 2013 - October 4, 2013

PFS INVESTMENTS INC.

CRD#: 10111

SAN JOSE, CA

Past

August 1, 2013 - October 4, 2013

PFS INVESTMENTS INC.

RIA

CRD#: 10111

SAN JOSE, CA

Past

December 3, 2010 - September 6, 2011

MORGAN STANLEY

RIA

CRD#: 149777

SAN JOSE, CA

Past

November 5, 2010 - September 6, 2011

MORGAN STANLEY

CRD#: 149777

SAN JOSE, CA

Past

December 7, 2005 - November 21, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

CUPERTINO, CA

Past

February 25, 2004 - September 8, 2004

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525 / SEC#: 801-9638, 8-17822

RIA

Registered Investment Advisory firm - SEC (11/12/1973 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(3/24/2026)

Alaska
(3/27/2026)

Arizona
(3/26/2026)

Arkansas
(4/2/2026)

California
(3/23/2026)

Colorado
(3/25/2026)

Connecticut
(3/30/2026)

Delaware
(3/23/2026)

District of Columbia
(3/23/2026)

Florida
(11/24/2025)

Georgia
(3/24/2026)

Hawaii
(3/24/2026)

Idaho
(11/25/2025)

Illinois
(11/24/2025)

Indiana
(3/26/2023)

Iowa
(3/25/2026)

Kansas
(3/23/2026)

Kentucky
(11/24/2025)

Louisiana
(3/23/2026)

Maine
(3/23/2026)

Maryland
(5/11/2026)

Massachusetts
(3/24/2026)

Michigan
(11/24/2025)

Minnesota
(11/24/2025)

Mississippi
(11/24/2025)

Missouri
(3/23/2026)

Montana
(11/24/2025)

Nebraska
(11/24/2025)

Nevada
(3/24/2026)

New Hampshire
(3/23/2026)

New Jersey
(11/24/2025)

New Mexico
(3/24/2026)

New York
(3/23/2026)

North Carolina
(3/23/2026)

North Dakota
(3/30/2026)

Ohio
(3/23/2026)

Oklahoma
(11/24/2025)

Oregon
(4/1/2026)

Pennsylvania
(3/25/2026)

Puerto Rico
(12/10/2025)

Rhode Island
(3/31/2026)

South Carolina
(11/24/2025)

South Dakota
(11/24/2025)

Tennessee
(3/24/2026)

Texas
(11/24/2025)

Utah
(3/23/2026)

Vermont
(3/24/2026)

Virgin Islands
(4/1/2026)

Virginia
(3/24/2026)

Washington
(11/24/2025)

West Virginia
(3/25/2026)

Wisconsin
(3/23/2026)

Wyoming
(3/26/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 3/21/2026

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 11/26/2010

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 12/30/2010

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/3/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/24/2004

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525 / SEC#: 801-9638, 8-17822

RIA

Registered Investment Advisory firm - SEC (11/12/1973 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

1 Columbus Circle, New York, NY 10019

Mailing Address

1 Columbus Circle, New York, NY 10019

Phone number

(212) 250-2500

Established

Delaware since 12/29/1971

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

1,788

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

DBSI RESEARCH SERVICES (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
DB U.S. FINANCIAL MARKETS HOLDING CORPORATION	STOCKHOLDER
LEONARD, CHRISTOPHER	CHIEF EXECUTIVE OFFICER & PRESIDENT	5748580
MASSARO, TIBERIO	DIRECTOR/CHIEF FINANCIAL OFFICER/FINOP	1847137
NAPPER, GLEENNIA T	CHIEF COMPLIANCE OFFICER FOR INVESTMENT ADVISER	6161268
PETRUCCELLI, DOMINICK III	CHIEF RISK OFFICER	8018800
SANTORE, DAVID	CHIEF LEGAL OFFICER	7987270
STUCCHIO, ANTHONY	CHIEF OPERATIONS OFFICER AND DIRECTOR	2198592
TIGER, SEBASTIAN BENJAMIN	CHIEF COMPLIANCE OFFICER	2266287

Disclosures

Regulatory Event	291
Civil Event	3
Arbitration	13

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.

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Advisor Monitoring

Firm Stability Insights

Alice W. Liang

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alice Wen Chi Liang's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITY NATIONAL SECURITIES, INC.

CITY NATIONAL SECURITIES, INC.

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

U.S. BANCORP ADVISORS, LLC

U.S. BANCORP ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

ADVICEBRIDGE, INC.

PFS INVESTMENTS INC.

PFS INVESTMENTS INC.

MORGAN STANLEY

MORGAN STANLEY

BANC OF AMERICA INVESTMENT SERVICES, INC.

CITICORP INVESTMENT SERVICES

Primary Firm SEC Registration

DEUTSCHE BANK SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/21/2026

Series 66

Date: 11/26/2010

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 31

Date: 12/30/2010

Series 7

Date: 11/3/2010

Series 6

Date: 2/24/2004

FINRA

Nasdaq Stock Market

New York Stock Exchange

Current Firm

DEUTSCHE BANK SECURITIES INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

DEUTSCHE BANK SECURITIES INC.

TRUST BUT VERIFY

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