Tony J. Liu
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.
Tony Jiehua Liu, who also goes by Jiehua Liu, Tony J Liu, was a registered financial professional .
Tony is a previously registered financial professional and started their career in finance in 2012. Tony had worked at 1 firm and has passed the Series 56 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 29, 2012 - September 26, 2013
OBD SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 56
Date: 2/28/2012
Proprietary Trader Qualification ExaminationCurrent Firm
OBD SECURITIES LLC
CRD#: 153008 / SEC#: , 8-68497
Contact information
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.
