John Liu
Professional summary
John Liu, who also goes by John C H Liu, is a registered financial professional currently at FIRSTRADE SECURITIES INC. located in Flushing, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 1980. John has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Liu's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 17, 1985 - Present
FIRSTRADE SECURITIES INC.
Office #1: 30-50 Whitestone Expressway Suite A301, Flushing, NY 11354Office #2: 30-50 Whitestone Expressway, Suite A301, Flushing, NY 11354October 8, 1984 - December 3, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 29, 1982 - October 26, 1984
LEHMAN BROTHERS INC.
September 26, 1980 - April 20, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 1, 1980 - February 15, 1985
COLONIAL SECURITIES, 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
(5/18/2021)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
FIRSTRADE SECURITIES INC.
CRD#: 16843 / SEC#: , 8-34642
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Red Flags
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