GL
Guosi Liu
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CRD#: 7555840
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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.
Guosi Liu, who also goes by Grant Liu, was a registered financial professional .
Guosi is a previously registered financial professional and started their career in finance in 2022. Guosi had worked at 1 firm .
Question & Answer
Are you a "fiduciary"?
No
Aliases
Grant 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.
1. Name of business: World Financial Group; investment-related; address: 1 Technology Drive, Suite J709, Irvine, CA 92618; nature of business: insurance broker; position: insurance agent; start date: April 2018; approximate number of hours/month devoting to the other business: 10 hours per month; number of hours devoting to the other business during securities trading hours: 0; duties relating to the other business: selling insurance products. 2. Name of business: KW Spectrum Property; not investment-related; address: 2010 Main St Ste 600, Irvine, CA 92614; nature of business: real estate broker; position: agent; start date: March 2020; approximate number of hours/month devoting to the other business: 40 hours per month; number of hours devoting to the other business during securities trading hours: 0; duties relating to the other business: selling, buying, and managing houses. 3. Name of business: LoanDepot; not investment-related; address: 26642 Towne Centre Dr, Foothill Ranch, CA 92610; nature of business: loan broker; position: Lead Software Engineer; start date: March 2014; approximate number of hours/month devoting to the other business: 160 hours per month; number of hours devoting to the other business during securities trading hours: 160 hours per month; duties relating to the other business: software engineer maintaining system.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
June 13, 2022 - February 25, 2025
AMERICAN FUNDSTARS
RIA
CRD#: 315860
NEWPORT BEACH, 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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
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.
