Jay I. Liao

MANDALA WEALTH MANAGEMENT

San Francisco, CA

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CRD#: 5720612

Professional summary

Jay I-chieh Liao, who also goes by Jay Liao, is a registered financial advisor currently at MANDALA WEALTH MANAGEMENT, LLC located in San Francisco, California.

Jay is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Jay has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jay Liao

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) - RIA

Click below to view Jay I-chieh Liao'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®

None

Experience

Current

January 8, 2016 - Present

MANDALA WEALTH MANAGEMENT, LLC

RIA

CRD#: 282151

San Francisco, CA

Past

December 20, 2010 - January 13, 2016

MORGAN STANLEY

RIA

CRD#: 149777

Menlo Park, CA

Past

December 2, 2010 - January 13, 2016

MORGAN STANLEY

CRD#: 149777

Menlo Park, CA

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.

Highlighted states indicate IAR registrations

IAR

California
(1/8/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/17/2010

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 1/13/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/1/2010

General Securities Representative Examination

Current Firm

MANDALA WEALTH MANAGEMENT, LLC

CRD#: 282151 / SEC#: 801-107039

RIA

Registered Investment Advisory firm - (5/6/2016 Terminated)

California

Registered Investment Advisory firm - (4/14/2016 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

San Diego, CA

Mailing Address

Phone number

(415) 633-6804

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	31
AUM (Assets Under Management)	$ 20,645,967

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.

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Firm Stability Insights

Jay I. Liao

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jay I-chieh Liao's CRS (Customer Relationship Summary).

Certified licenses

Experience

MANDALA WEALTH MANAGEMENT, LLC

MORGAN STANLEY

MORGAN STANLEY

State Registrations and Notice Filings

Exams

Series 66

Date: 12/17/2010

SIE

Date: 1/13/2016

Series 7

Date: 12/1/2010

Current Firm

MANDALA WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MANDALA WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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