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JL

Jinming Liu

Some features on this profile are disabled
CRD#: 5396097
JL

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.

Jinming Liu was a registered financial professional .

Jinming is a previously registered financial professional and started their career in finance in 2007. Jinming had worked at 1 firm and has passed the Series 63, SIE, Series 87, Series 86, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

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

August 7, 2007 - October 28, 2015

ARDOUR CAPITAL INVESTMENTS, LLC

BD
CRD#: 120574
LONG BEACH, NY

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.

Exams

State Security Law Exam
RR
Series 63
Date: 8/17/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/28/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 9/5/2007
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 8/28/2007
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7
Date: 8/6/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/30/2008
General Securities Principal Examination

Current Firm

AC
ARDOUR CAPITAL INVESTMENTS, LLC
ARDOUR CAPITAL INVESTMENTS, LLC

CRD#: 120574 / SEC#: , 8-65317

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
780 Long Beach Blvd, Long Beach, NY 11561
Mailing Address
780 Long Beach Blvd, Long Beach, NY 11561
Phone number
(917) 330-3442
Established
Delaware since 01/18/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (9 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ARDOUR CAPITAL PARTNERS, LLCMANAGING MEMBER
OBRIEN, JEANMARC EDWARDSHAREHOLDER1728754
APPELSON, STUART DAVIDCHIEF FINANCIAL OFFICER
DUKES, KERRY JOSEPHMANAGING PARTNER, CHIEF COMPLIANCE OFFICER1773976
GREENSTEIN, BRIAN JAYPRESIDENT1373346

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

ARDOUR CAPITAL INVESTMENTS, LLC

CRD#: 120574

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