Richard W. Liao

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CRD#: 5223770

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.

Richard Waywu Liao was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 2007. Richard had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

OTHER BUSINESS: KANBENTO LLC. LOCATION: 13965 GREENDALE DRIVE WOODBRIDGE, VA 22191. NATURE OF BUSINESS: HEALTH & FITNESS APP FOR PRE-DIABETICS. POSITION OR TITLE: FOUNDER / PRINCIPAL. RESPONSIBILITIES: MARKETING AND APP DEVELOPMENT. INVESTMENT RELATED: NO. HOURS PER MONTH: 20 HOURS PER MONTH /NONE DURING MARKET HOURS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 25, 2015 - June 27, 2023

FIRST TRUST ADVISORS LP

RIA

CRD#: 107027

SPRINGFIELD, VA

Past

June 25, 2015 - June 27, 2023

FIRST TRUST PORTFOLIOS L.P.

CRD#: 28519

WHEATON, IL

Past

December 1, 2011 - July 14, 2014

FIRST TRUST ADVISORS LP

RIA

CRD#: 107027

WHEATON, IL

Past

April 19, 2007 - July 14, 2014

FIRST TRUST PORTFOLIOS L.P.

CRD#: 28519

WHEATON, IL

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".

FIRST TRUST ADVISORS LP

CRD#: 107027 / SEC#: 801-39950

RIA

Registered Investment Advisory firm - (10/4/1991 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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

IAR

Series 66

Date: 6/26/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/18/2007

General Securities Representative Examination

Current Firm

FIRST TRUST ADVISORS LP

CRD#: 107027 / SEC#: 801-39950

RIA

Registered Investment Advisory firm - (10/4/1991 Approved)

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Contact information

Main Address

120 E. Liberty Drive Suite 400, Wheaton, IL 60187

Mailing Address

Phone number

(630) 765-8000

Established

Firm type

Fiscal year end

# of Employees

520

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FTA FORM ADV PART 2A BROCHURE - 03.31.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	5,033
AUM (Assets Under Management)	$ 256,328,000,000

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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Richard W. Liao

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST TRUST ADVISORS LP

FIRST TRUST PORTFOLIOS L.P.

FIRST TRUST ADVISORS LP

FIRST TRUST PORTFOLIOS L.P.

Primary Firm SEC Registration

FIRST TRUST ADVISORS LP

State Registrations and Notice Filings

Exams

Series 66

Date: 6/26/2007

SIE

Date: 10/1/2018

Series 7

Date: 4/18/2007

Current Firm

FIRST TRUST ADVISORS LP

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIRST TRUST ADVISORS LP

TRUST BUT VERIFY

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