David X. Liu
Professional summary
David Xilong Liu, who also goes by David Liu, is a registered financial professional currently at J. WOOD CAPITAL ADVISORS LLC located in Santa Rosa, California.
David is registered as a RR (Registered Representative) and started their career in finance in 2010. David has worked at 2 firms and has passed the Series 63, Series 79TO, SIE, Series 86, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Xilong Liu's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 29, 2021 - Present
J. WOOD CAPITAL ADVISORS LLC
Office #1: 1820 Calistoga Rd, Santa Rosa, CA 95404September 10, 2010 - June 14, 2013
SANFORD C. BERNSTEIN & CO., LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/2/2021)
Exams
Series 79TO
Date: 6/28/2021
Investment Banking Registered Representative ExaminationFINRA
Current Firm
J. WOOD CAPITAL ADVISORS LLC
CRD#: 169097 / SEC#: , 8-69348
Contact information
FINRA licenses (1 States and Territories)
Documents
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.
Company Information
J. WOOD CAPITAL ADVISORS LLC
CRD#: 169097Santa Rosa, CA 95404TRUST BUT VERIFY
Monitor David Liu
Get automatic monthly alerts on:
