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HL

Hsing-kuen Liou

Some features on this profile are disabled
CRD#: 6694672
HL

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.

Hsing-kuen Liou, CFP® was a registered financial professional .

Hsing-kuen is a previously registered financial professional and started their career in finance in 2016. Hsing-kuen had worked at 2 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
NAME OF OUTSIDE BUSINESS ORGANIZATION: LIOU IRA LLC FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION INVESTMENT RELATED: N ADDRESS OF BUSINESS: Colorado Springs, CO NATURE OF BUSINESS: Real Estate POSITION, TITLE, ASSOCIATION: Manager START DATE OF RELATIONSHIP: Jan 2020 NUMBER OF HOURS DEVOTED: 4 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MANAGE A RENTAL PROPERTY Hsing-Kuen Liou is a licensed insurance producer in Colorado with license# 634338. This is not investment related. He is an independent insurance agent in Colorado Springs, CO. He spends no more than ten hours per month recommending insurance products starting in March 2020.

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®
CFP®

Certified Financial Planner

Start date: 2018

Experience

Past

January 27, 2021 - June 21, 2022

WEN CAPITAL MANAGEMENT LLC

RIA
CRD#: 298401
MELBOURNE, FL
Past

September 10, 2018 - December 31, 2020

WEN CAPITAL MANAGEMENT LLC

RIA
CRD#: 298401
COLORADO SPRINGS, CO
Past

October 14, 2016 - August 7, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
MINNEAPOLIS, MN
Past

October 13, 2016 - August 7, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
MINNEAPOLIS, MN

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: 10/28/2016
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 4/21/2016
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/7/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/13/2016
General Securities Representative Examination

Current Firm

WC
WEN CAPITAL MANAGEMENT LLC
WEN CAPITAL MANAGEMENT LLC

CRD#: 298401 / SEC#:

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Contact information

Main Address
Melbourne, FL
Mailing Address
Phone number
(763) 221-7314
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

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

WEN CAPITAL MANAGEMENT LLC

CRD#: 298401

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