Nicolas 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.
Nicolas Liu, who also goes by Chengyan Liu, was a registered financial professional .
Nicolas is a previously registered financial professional and started their career in finance in 2006. Nicolas had worked at 4 firms and has passed the Series 66 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
June 13, 2013 - December 31, 2013
WEALTH COACH LLC
November 22, 2006 - December 23, 2011
AVANTAX ADVISORY SERVICES
October 4, 2006 - December 23, 2011
AVANTAX INVESTMENT SERVICES, INC.
September 19, 2006 - October 18, 2006
GROVE POINT INVESTMENTS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WEALTH COACH LLC
CRD#: 167483 / SEC#:
Contact information
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.
