ML
Mamie Y. Liu
ADVOCATE INVESTING SERVICES
WOODBINE, MD 21797
Some features on this profile are disabled
CRD#: 5285060
ML
Professional summary
Mamie Yuhua Chu Liu, CFP®, who also goes by Mamie Yuhua Chu, Mamie Yuhua Liu, Mamie Liu, is a registered financial advisor currently at ADVOCATE INVESTING SERVICES located in Woodbine, Maryland and LPL FINANCIAL LLC located in Woodbine, Maryland.
Mamie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Mamie has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mamie Yuhua Chu | Mamie Yuhua Liu | Mamie Liu
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.
(1) 10/04/2016: Advocate Investing Services - Registered Investment Advisor Hybrid - DBA: (Hybrid) Advocate Investing Services - Investment Related - 1320 Saint Michael's Rd, Mount Airy, MD 21771 - Start 04/01/2016 - 160 Hr/Mo; 7 Hour(s) During Securities Trading - I provide investment advisory services through Advocate Investing Services, an independent investment advisor firm. I started this business activity in August 2016. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm�s Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Mamie Yuhua Chu Liu's 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®
Start date: 2010
Experience
Current
August 4, 2016 - Present
ADVOCATE INVESTING SERVICES
Office #1: 15949 Frederick Road, Woodbine, MD 21797RIA
CRD#: 273035
WOODBINE, MD
Current
July 12, 2010 - Present
LPL FINANCIAL LLC
Office #1: 15949 Frederick Road, Woodbine, MD 21797RIA
BD
CRD#: 6413
WOODBINE, MD
Past
July 12, 2010 - January 18, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
POTOMAC, MD
Past
March 5, 2007 - July 12, 2010
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
GAITHERSBURG, MD
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".
AI
ADVOCATE INVESTING SERVICES
ADVOCATE INVESTING SERVICE | ADVOCATE INVESTING SERVICES, LLC | ADVOCATE INVESTING SERVICES
CRD#: 273035 / SEC#: 801-125692
RIA
Registered Investment Advisory firm - (5/19/2022 Approved)Florida
Registered Investment Advisory firm - (5/23/2022 Terminated)Maryland
Registered Investment Advisory firm - (5/31/2022 Terminated)Texas
Registered Investment Advisory firm - (5/23/2022 Terminated)Virginia
Registered Investment Advisory firm - (5/23/2022 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
California(7/12/2010)
RR
Connecticut(8/7/2025)
RR
Florida(5/11/2011)
RR
Maryland(7/12/2010)
IAR
Maryland(8/4/2016)
RR
Virginia(7/12/2010)
RR
Washington(3/24/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AI
ADVOCATE INVESTING SERVICES
ADVOCATE INVESTING SERVICE | ADVOCATE INVESTING SERVICES, LLC | ADVOCATE INVESTING SERVICES
CRD#: 273035 / SEC#: 801-125692
RIA
Registered Investment Advisory firm - (5/19/2022 Approved)Florida
Registered Investment Advisory firm - (5/23/2022 Terminated)Maryland
Registered Investment Advisory firm - (5/31/2022 Terminated)Texas
Registered Investment Advisory firm - (5/23/2022 Terminated)Virginia
Registered Investment Advisory firm - (5/23/2022 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
15949 Frederick Road, Woodbine, MD 21797
Mailing Address
Phone number
(240) 403-0039
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 339 |
| AUM (Assets Under Management) | $ 154,494,351 |
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.
