Yun Shya Liao
Professional summary
Yun Shya Liao, who also goes by Lisa Yun Shya Liao, Lisa Liao, Yun Shya Liao, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.
Yun Shya is registered as a RR (Registered Representative) and started their career in finance in 2006. Yun Shya has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Yun Shya Liao's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 26, 2024 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901August 23, 2021 - April 15, 2024
J.K. FINANCIAL SERVICES, INC.
October 19, 2020 - May 27, 2021
CETERA INVESTMENT SERVICES LLC
May 4, 2015 - September 30, 2020
GLOBALINK SECURITIES, INC.
August 31, 2011 - April 30, 2013
GLOBALINK SECURITIES, INC.
March 24, 2008 - September 25, 2009
MSI FINANCIAL SERVICES, INC.
November 1, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
November 1, 2006 - September 25, 2009
MSI FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/26/2024)
(4/26/2024)
Exams
Series 7TO
Date: 7/10/2020
General Securities Representative ExaminationFINRA
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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