Christopher C. 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.
Christopher C. Liu was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2010. Christopher had worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2021 - September 16, 2024
GRIFFIN ASSET MANAGEMENT, LLC
February 15, 2013 - September 21, 2017
LEBENTHAL & CO., LLC
November 29, 2012 - December 31, 2016
LEBENTHAL ASSET MANAGEMENT, LLC
November 17, 2010 - November 28, 2012
LEBENTHAL ASSET MANAGEMENT, LLC
Primary Firm SEC Registration
GRIFFIN ASSET MANAGEMENT, LLC
CRD#: 104548 / SEC#: 801-7495
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
GRIFFIN ASSET MANAGEMENT, LLC
CRD#: 104548 / SEC#: 801-7495
Contact information
SEC notice filing (15 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 687 |
| AUM (Assets Under Management) | $ 969,741,595 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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