ZL
Zhiqi Liu
AMERICAN FUNDSTARS
IRVINE, CA 92614
Some features on this profile are disabled
CRD#: 7141711
ZL
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.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Iris Liu
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.
Currently acting as an insurance agent for American Fundstars Insurance Agency (DBA of American Fundstars Financial Group LLC). This is investment-related. Address: 4695 MacArthur Court, Suite 560, Newport Beach, CA, 92660. Nature of business: insurance. Position: Insurance Agent. Start date of relationship: February 1, 2022. Approximate number of hours/month devoting to this business: 2 hour/month. Duties relating to this business: administration and compliance
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).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 19, 2022 - Present
AMERICAN FUNDSTARS
Office #1: 1 Park Plaza Suite 210, Irvine, CA 92614Office #2: 1 Park Plaza Suite 210, Irvine, CA 92614RIA
BD
CRD#: 315860
IRVINE, CA
Current
November 28, 2023 - Present
AMERICAN FUNDSTARS
Office #1: 1 Park Plaza Suite 210, Irvine, CA 92614Office #2: 1 Park Plaza Suite 210, Irvine, CA 92614RIA
BD
CRD#: 315860
IRVINE, CA
Past
July 31, 2019 - February 11, 2022
MORGAN STANLEY
RIA
CRD#: 149777
Irvine, CA
Past
July 9, 2019 - February 11, 2022
MORGAN STANLEY
BD
CRD#: 149777
Irvine, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AF
AMERICAN FUNDSTARS
AMERICAN FUNDSTARS | MY SECURITIES | AMERICAN FUNDSTARS INSURANCE AGENCY | AMERICAN FUNDSTARS FINANCIAL GROUP LLC
CRD#: 315860 / SEC#: 801-126339, 8-70982
RIA
Registered Investment Advisory firm - SEC (8/5/2022 Approved)California
Registered Investment Advisory firm - SEC (11/25/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
IAR
California(1/19/2022)
RR
California(12/6/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 5/6/2024
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/9/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AF
AMERICAN FUNDSTARS
AMERICAN FUNDSTARS | MY SECURITIES | AMERICAN FUNDSTARS INSURANCE AGENCY | AMERICAN FUNDSTARS FINANCIAL GROUP LLC
CRD#: 315860 / SEC#: 801-126339, 8-70982
RIA
Registered Investment Advisory firm - SEC (8/5/2022 Approved)California
Registered Investment Advisory firm - SEC (11/25/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
1 Park Plaza Suite 210, Irvine, CA 92614
Mailing Address
1 Park Plaza Suite 210, Irvine, CA 92614
Phone number
(949) 877-8838
Established
Delaware since 06/17/2021
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees
21
SEC notice filing (1 States and Territories)
FINRA licenses (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 365 |
| AUM (Assets Under Management) | $ 276,608,065 |
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.
