Tzu-ting Liao
Professional summary
Tzu-ting Liao, who also goes by Tzuting Liao, Ting Liao, is a registered financial professional currently at RABO SECURITIES USA, INC. located in Atlanta, Georgia.
Tzu-ting is registered as a RR (Registered Representative) and started their career in finance in 2018. Tzu-ting has worked at 2 firms and has passed the Series 63, Series 79TO, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Tzu-ting Liao's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 19, 2023 - Present
RABO SECURITIES USA, INC.
Office #1: 1180 Peactree Street Suite 2200, Atlanta, GA 30309October 22, 2019 - June 7, 2021
RABO SECURITIES USA, INC.
February 19, 2018 - May 7, 2019
NOMURA SECURITIES INTERNATIONAL, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/16/2023)
(10/17/2023)
Exams
Series 79TO
Date: 7/4/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
RABO SECURITIES USA, INC.
CRD#: 122657 / SEC#: , 8-65525
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UTRECHT-AMERICA HOLDINGS, INC | SOLE SHAREHOLDER | |
| AMIN, SHREYA | SECRETARY | 7368182 |
| BASSETT, DAVID FRANCIS | CHAIRMAN | 2802027 |
| CHESTER, WILLIAM PETER | DIRECTOR | 5868288 |
| DEMAZURE PELLETIER, CHRISTINE MARIE | DIRECTOR | 5481370 |
| KITTEL, CHRISTOPHER FREDERICK | CHIEF COMPLIANCE OFFICER | 2718043 |
| KORMANEK, SHAWN PATRICK | DIRECTOR | 7310810 |
| LAMPER, KATHERINE S | DIRECTOR | 5202959 |
| LAZAROV, DUSAN OBRAD | DIRECTOR | 7904295 |
| MARTENS, ANDREA MARIE | FINANCIAL AND OPERATIONS PRINCIPAL | 1187593 |
| PASDAR, NADER | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 4702711 |
Red Flags
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