Lydia C. Liou

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CRD#: 6583198

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.

Lydia Chung Liou, who also goes by Lydia Liou, was a registered financial professional .

Lydia is a previously registered financial professional and started their career in finance in 2017. Lydia had worked at 2 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Lydia Liou

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.

Ms. Liou is licensed by the Texas Department of Insurance as a general lines agent for life, accident, health, and HMO. Start date 2023. 0 hours per month.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 3, 2022 - August 11, 2025

TRINITY LEGACY PARTNERS, LLC

RIA

CRD#: 159179

HOUSTON, TX

Past

November 2, 2017 - May 23, 2019

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

HOUSTON, TX

Past

September 25, 2017 - May 23, 2019

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

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".

TRINITY LEGACY PARTNERS, LLC

CRD#: 159179 / SEC#: 801-110643

RIA

Registered Investment Advisory firm - (5/24/2017 Approved)

Texas

Registered Investment Advisory firm - (5/25/2017 Terminated)

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).

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.

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: 7/1/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 11/2/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/25/2017

General Securities Representative Examination

Current Firm

TRINITY LEGACY PARTNERS, LLC

CRD#: 159179 / SEC#: 801-110643

RIA

Registered Investment Advisory firm - (5/24/2017 Approved)

Texas

Registered Investment Advisory firm - (5/25/2017 Terminated)

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Contact information

Main Address

24 Greenway Plaza Suite 546, Houston, TX 77046

Mailing Address

Phone number

(713) 999-8053

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TRINITY LEGACY PARTNERS, LLC ADV PART 2A BROCHURE (7/7/2025)

Regulatory assets under management

Total Number of Accounts	854
AUM (Assets Under Management)	$ 460,391,294

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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Lydia C. Liou

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TRINITY LEGACY PARTNERS, LLC

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

TRINITY LEGACY PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/1/2022

Series 66

Date: 11/2/2017

SIE

Date: 10/1/2018

Series 7

Date: 9/25/2017

Current Firm

TRINITY LEGACY PARTNERS, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRINITY LEGACY PARTNERS, LLC

TRUST BUT VERIFY

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