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CL

Christopher Liu

LUCID CAPITAL MARKETS
New York, NY 10006
Some features on this profile are disabled
CRD#: 6820383
CL

Professional summary

Christopher Liu is a registered financial professional currently at LUCID CAPITAL MARKETS, LLC located in New York, New York.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 2017. Christopher has worked at 4 firms and has passed the Series 63, SIE, Series 86, Series 87 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Christopher 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

August 28, 2024 - Present

LUCID CAPITAL MARKETS, LLC

Office #1: One Liberty Plaza 7th Floor, Suite 701, New York, NY 10006
BD
CRD#: 140345
New York, NY
Past

April 8, 2020 - March 25, 2024

LEERINK PARTNERS LLC

BD
CRD#: 39011
NEW YORK, NY
Past

September 5, 2018 - April 29, 2020

CANACCORD GENUITY LLC

BD
CRD#: 1020
NEW YORK, NY
Past

August 30, 2017 - August 14, 2018

OPPENHEIMER & CO. INC.

BD
CRD#: 249
BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
(8/28/2024)
RR
California
(8/28/2024)
RR
Colorado
(8/28/2024)
RR
Connecticut
(8/28/2024)
RR
Delaware
(8/28/2024)
RR
District of Columbia
(8/28/2024)
RR
Florida
(8/28/2024)
RR
Illinois
(8/28/2024)
RR
Louisiana
(8/28/2024)
RR
Maryland
(8/28/2024)
RR
Massachusetts
(8/28/2024)
RR
Michigan
(8/28/2024)
RR
Nevada
(8/28/2024)
RR
New Jersey
(8/28/2024)
RR
New York
(8/28/2024)
RR
North Carolina
(8/28/2024)
RR
Ohio
(8/28/2024)
RR
Pennsylvania
(8/28/2024)
RR
South Carolina
(8/28/2024)
RR
Texas
(8/28/2024)
RR
Vermont
(8/28/2024)
RR
Virgin Islands
(8/28/2024)
RR
Virginia
(8/28/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 10/2/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 86
Date: 12/13/2017
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 11/2/2017
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 8/30/2017
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

LC
LUCID CAPITAL MARKETS, LLC
AMERICAS EXECUTIONS | SURKIS, BARRY NMN | SURKIS, BARRY | SURKIS INCORPORATED | LUCID CAPITAL MARKETS, LLC | LUCID CAPITAL MARKETS LLC. | LUCID CAPITAL MARKETS | AMERX | AMERICAS EXECUTIONS, LLC | AMERICAS EXECUTIONS, INC.

CRD#: 140345 / SEC#: , 8-67305

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
New York Stock Exchange 11 Wall Street Pod-p, New York, NY 10005
Mailing Address
C/o Accounting & Compliance International 199 Water Street 9th Floor, New York, NY, 10038
Phone number
(212) 306-2700
Established
New York since 06/15/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (25 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GI4 HOLDINGS, LLCSOLE PROPRIETOR
IANNONE, JOHN VINCENT JR.CHIEF FINANCIAL OFFICER AND OPERATIONS PRINCIPAL1616912
SHAPIRO, ANDREW JAYCHIEF COMPLIANCE OFFICER1104658
TANIOS, FADYCEO4213894
YANNOTTI, ALEXANDER ANTHONYFINANCIAL OPERATIONS PRINCIPAL1333893

Disclosures

Regulatory Event1

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

LUCID CAPITAL MARKETS, LLC

CRD#: 140345New York, NY 10006

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