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DL

David T. Liu

FORTUNE SECURITIES
ALHAMBRA, CA 91801
Some features on this profile are disabled
CRD#: 5835446
DL
David Tak Wai LiuFORTUNE SECURITIES

Professional summary

David Tak Wai Liu, who also goes by David Liu, is a registered financial professional currently at FORTUNE SECURITIES, INC. located in Alhambra, California.

David is registered as a RR (Registered Representative) and started their career in finance in 2010. David has worked at 3 firms and has passed the Series 63, Series 65, Series 79TO, Series 7TO, SIE, Series 99TO, Series 7, Series 79 and Series 24 exams.

Aliases

David Liu

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) - BD

Click below to view David Tak Wai Liu's CRS (Customer Relationship Summary).
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

August 2, 2026 - Present

FORTUNE SECURITIES, INC.

Office #1: 388 E. Valley Blvd., Suite 208, Alhambra, CA 91801Office #2: 388 E. Valley Blvd. Suite 208, Alhambra, CA 91801
BD
CRD#: 40821
ALHAMBRA, CA
Past

July 22, 2020 - August 17, 2021

CREDITEASE FINANCIAL SERVICES (USA) CORP.

BD
CRD#: 297557
Irvine, CA
Past

February 27, 2012 - October 4, 2017

KEY WEST INVESTMENTS, LLC

RIA
CRD#: 149418
SAN GABRIEL, CA
Past

October 7, 2010 - October 4, 2017

KEY WEST INVESTMENTS, LLC

BD
CRD#: 149418
SAN GABRIEL, CA

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: 10/12/2020
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 12/13/2010
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 8/2/2026
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/2/2026
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/2/2026
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 7
Date: 7/27/2011
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79
Date: 10/6/2010
Investment Banking Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/2/2026
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FORTUNE SECURITIES, INC.
FORTUNE SECURITIES, INC.

CRD#: 40821 / SEC#: , 8-49208

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
388 E. Valley Blvd. Suite 208, Alhambra, CA 91801
Mailing Address
388 E. Valley Blvd. Suite 208, Alhambra, CA 91801
Phone number
(626) 281-6001
Established
California since 11/20/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (11 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CHEN, YINYICEO, DIRECTOR ,SECRETARY, MUNI BOND PRINCIPAL & CFO2086259
CHEN, YINYICCO2086259
CHEN, JEN WEISHAREHOLDER2734506
LIN, SUNINSHAREHOLDER2556300
WU, FENG-SHENGSHAREHOLDER5672647

Disclosures

Regulatory Event1

Red Flags

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Company Information

FORTUNE SECURITIES, INC.

CRD#: 40821Alhambra, CA 91801

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