Zhiyuan Liu
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Zhiyuan Liu was a registered financial professional .
Zhiyuan is a previously registered financial professional and started their career in finance in 2022. Zhiyuan had worked at 1 firm and has passed the Series 99TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2022 - February 7, 2023
FUTU CLEARING 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
Exams
Series 99TO
Date: 10/14/2022
Operations Professional ExaminationCurrent Firm
FUTU CLEARING INC
CRD#: 298769 / SEC#: , 8-70215
Contact information
FINRA licenses (2 States and Territories)
Documents
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.
