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Sophia Y. Liu

BENEFIT FINANCIAL SERVICES GROUP
Irvine, CA 92614
Some features on this profile are disabled
CRD#: 6676494
SL

Professional summary

Sophia Yu Liu, CFP®, who also goes by Sophia Yu Liu, Sophia Liu, Yu Ju Liu, is a registered financial advisor currently at BENEFIT FINANCIAL SERVICES GROUP located in Irvine, California.

Sophia is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Sophia has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Sophia Yu Liu | Sophia Liu | Yu Ju 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) - RIA

Click below to view Sophia Yu 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®
CFP®

Certified Financial Planner

Experience

Current

August 9, 2024 - Present

BENEFIT FINANCIAL SERVICES GROUP

Office #1: 2040 Main Street Suite 720, Irvine, CA 92614
RIA
CRD#: 143617
Irvine, CA
Past

November 8, 2018 - September 26, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
IRVINE, CA
Past

November 8, 2018 - September 26, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
IRVINE, CA
Past

May 5, 2017 - September 27, 2018

SECURIAN FINANCIAL SERVICES, INC.

RIA
CRD#: 15296
NEWPORT BEACH, CA
Past

February 7, 2017 - September 27, 2018

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
NEWPORT BEACH, CA
Past

September 16, 2016 - January 27, 2017

ADP BROKER-DEALER, INC.

BD
CRD#: 37693
ROSELAND, NJ

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".
BF
BENEFIT FINANCIAL SERVICES GROUP
BENEFIT FINANCIAL SERVICES GROUP | PACWEST, A PART OF THE BFS WEALTH MANAGEMENT DIVISION | PACWEST | BFSG, LLC | BFS WEALTH MANAGEMENT | BFS INSTITUTIONAL SERVICES | BENEFIT FUNDING SERVICES GROUP

CRD#: 143617 / SEC#: 801-67796

RIA
Registered Investment Advisory firm - (4/17/2007 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
California
(8/9/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/13/2017
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/7/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/27/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/16/2017
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/16/2016
Investment Company Products/Variable Contracts Representative Examination

Current Firm

BF
BENEFIT FINANCIAL SERVICES GROUP
BENEFIT FINANCIAL SERVICES GROUP | PACWEST, A PART OF THE BFS WEALTH MANAGEMENT DIVISION | PACWEST | BFSG, LLC | BFS WEALTH MANAGEMENT | BFS INSTITUTIONAL SERVICES | BENEFIT FUNDING SERVICES GROUP

CRD#: 143617 / SEC#: 801-67796

RIA
Registered Investment Advisory firm - (4/17/2007 Approved)
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Contact information

Main Address
2040 Main Street Suite 720, Irvine, CA 92614
Mailing Address
Phone number
(949) 955-2552
Established
Firm type
Fiscal year end
# of Employees
31

SEC notice filing (20 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (9/19/2025)

Regulatory assets under management

Total Number of Accounts855
AUM (Assets Under Management)$ 1,290,227,768

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

BENEFIT FINANCIAL SERVICES GROUP

CRD#: 143617Irvine, CA 92614

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