Zhiqi Liu
Professional Summary
Zhiqi Liu, who also goes by Iris Liu, is a registered financial advisor currently at AMERICAN FUNDSTARS located in Irvine, California. Zhiqi is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Zhiqi has worked at 2 firms and has passed the Series 66, Series 79TO, Series 31, Series 7TO, SIE, Series 27 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Iris Liu
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Videos & Posts
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Contact Information
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Disclosures on record.
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.
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Years of Experience
7 years in the financial services industry
Current & Past Employments
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Current Firm
AMERICAN FUNDSTARS | MY SECURITIES | AMERICAN FUNDSTARS INSURANCE AGENCY | AMERICAN FUNDSTARS FINANCIAL GROUP LLC
Contact Information
Main Address
1 Park Plaza Suite 210, Irvine, CA 92614Mailing Address
1 Park Plaza Suite 210, Irvine, CA 92614Phone Number
(949) 877-8838Established
Delaware since 06/17/2021Firm Type
Limited Liability CompanyFiscal Year End
SeptemberFirm Size
Small# of Employees
14SEC notice filing (1 States and Territories)
Registered to provide investment advisory services in 1 US states and territories.
FINRA licenses (3 States and Territories)
Registered to provide investment advisory services in 1 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
489AUM (Assets Under Management)
$332,687,583Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
AMERICAN FUNDSTARS | MY SECURITIES | AMERICAN FUNDSTARS INSURANCE AGENCY | AMERICAN FUNDSTARS FINANCIAL GROUP LLC
State Registrations and Notice Filings
(1/19/2022)
(12/6/2023)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed May 2024About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Zhiqi Liu's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Zhiqi Liu's CRS (Customer Relationship Summary).
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