Xiaofei 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.
Xiaofei Liu, who also goes by Sophia Liu, XIao Fei Liu, was a registered financial professional .
Xiaofei is a previously registered financial professional and started their career in finance in 2011. Xiaofei had worked at 2 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2014 - January 27, 2017
OBD SECURITIES LLC
August 23, 2011 - December 22, 2014
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
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Exams
Current 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.
