XL
Xichan Liu
ROCKEFELLER FINANCIAL LLC
Los Gatos, CA 95032
Some features on this profile are disabled
CRD#: 6343286
XL
Professional summary
Xichan Liu, who also goes by Cassidy Liu, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Los Gatos, California.
Xichan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Xichan has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Cassidy 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.
CRS (Client Relationship Summary) - RIA
Click below to view Xichan Liu's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Xichan Liu'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®
NoneExperience
Current
May 11, 2022 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 750 University Ave , Suite 240, Los Gatos, CA 95032RIA
BD
CRD#: 291361
Los Gatos, CA
Current
May 11, 2022 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 750 University Ave , Suite 240, Los Gatos, CA 95032RIA
BD
CRD#: 291361
Los Gatos, CA
Past
April 19, 2022 - April 26, 2022
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
RIA
CRD#: 108559
Palo Alto, CA
Past
April 18, 2022 - April 26, 2022
FIRST REPUBLIC SECURITIES COMPANY, LLC
BD
CRD#: 105108
Palo Alto, CA
Past
February 10, 2022 - May 13, 2022
MORGAN STANLEY
RIA
CRD#: 149777
Los Gatos, CA
Past
January 28, 2022 - May 13, 2022
MORGAN STANLEY
BD
CRD#: 149777
PURCHASE, NY
Past
July 19, 2018 - January 10, 2022
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SAN JOSE, CA
Past
June 28, 2018 - January 10, 2022
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SAN JOSE, CA
Past
July 15, 2014 - June 6, 2018
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
SAN JOSE, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RF
ROCKEFELLER FINANCIAL LLC
ROCKEFELLER CAPITAL MANAGEMENT | ROCKEFELLER GLOBAL FAMILY OFFICE | ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
RIA
Registered Investment Advisory firm - SEC (9/21/2018 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(5/11/2022)
RR
California(5/11/2022)
IAR
California(5/11/2022)
RR
Colorado(5/11/2022)
RR
Connecticut(5/11/2022)
RR
Delaware(5/11/2022)
RR
District of Columbia(5/11/2022)
RR
Florida(5/11/2022)
RR
Georgia(5/11/2022)
RR
Hawaii(5/11/2022)
RR
Illinois(5/11/2022)
RR
Indiana(5/11/2022)
RR
Kentucky(5/11/2022)
RR
Maryland(5/11/2022)
RR
Massachusetts(5/11/2022)
RR
Missouri(5/11/2022)
RR
Nevada(5/11/2022)
RR
New Mexico(5/11/2022)
RR
New York(5/11/2022)
RR
North Carolina(5/11/2022)
RR
Ohio(5/11/2022)
RR
Oklahoma(5/11/2022)
RR
Oregon(5/11/2022)
RR
Texas(5/11/2022)
IAR
Texas(5/11/2022)
RR
Utah(5/11/2022)
RR
Virginia(5/11/2022)
RR
Washington(5/11/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RF
ROCKEFELLER FINANCIAL LLC
ROCKEFELLER CAPITAL MANAGEMENT | ROCKEFELLER GLOBAL FAMILY OFFICE | ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
RIA
Registered Investment Advisory firm - SEC (9/21/2018 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
45 Rockefeller Plaza Floor 5, New York, NY 10111
Mailing Address
45 Rockefeller Plaza Floor 5, New York, NY 10111
Phone number
(212) 549-5100
Established
Delaware since 10/20/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
824
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 76,628 |
| AUM (Assets Under Management) | $ 70,030,224,514 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 08/26/2024 | ||
| 09/27/2023 |
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
ROCKEFELLER FINANCIAL LLC
CRD#: 291361Los Gatos, CA 95032TRUST BUT VERIFY
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