Jane Liu

ETHIC

New York, NY 10013

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CRD#: 6540929

Professional summary

Jane Liu, who also goes by Hyeji Lee, Jane Lee, is a registered financial advisor currently at ETHIC located in New York, New York.

Jane is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Jane has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Hyeji Lee | Jane Lee

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 Jane 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

September 23, 2021 - Present

ETHIC

Office #1: 99 Hudson Street 17th Floor, New York, NY, 10013

RIA

CRD#: 282827

New York, NY

Past

January 5, 2016 - April 12, 2017

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

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".

ETHIC

ETHIC | SIMPLIFUND INC. | ETHIC INC.

CRD#: 282827 / SEC#: 801-107290

RIA

Registered Investment Advisory firm - (2/18/2016 Approved)

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

New York
(9/23/2021)

IAR

Texas
(12/5/2021)

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 65

Date: 9/23/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/22/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/12/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/9/2015

General Securities Representative Examination

Current Firm

ETHIC

ETHIC | SIMPLIFUND INC. | ETHIC INC.

CRD#: 282827 / SEC#: 801-107290

RIA

Registered Investment Advisory firm - (2/18/2016 Approved)

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Contact information

Main Address

99 Hudson Street 17th Floor, New York, NY, 10013

Mailing Address

Phone number

(646) 687-6744

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (10/1/2025)

Regulatory assets under management

Total Number of Accounts	2,736
AUM (Assets Under Management)	$ 7,279,165,655

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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Jane Liu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jane Liu's CRS (Customer Relationship Summary).

Certified licenses

Experience

ETHIC

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

ETHIC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/23/2021

Series 63

Date: 12/22/2015

SIE

Date: 4/12/2017

Series 7

Date: 12/9/2015

Current Firm

ETHIC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ETHIC

TRUST BUT VERIFY

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