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AL

Angel Jiaxin Liu

CATHAY SECURITIES
New York, NY 10005
Some features on this profile are disabled
CRD#: 7782928
AL

Professional summary

Angel Jiaxin Liu is a registered financial professional currently at CATHAY SECURITIES, INC. located in New York, New York.

Angel Jiaxin is registered as a RR (Registered Representative) and started their career in finance in 2025. Angel Jiaxin has worked at 1 firm and has passed the Series 63, Series 7TO, Series 79TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Angel Jiaxin Liu's CRS (Customer Relationship Summary).
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®
None

Experience

Current

July 15, 2025 - Present

CATHAY SECURITIES, INC.

Office #1: 40 Wall Street Suite 3600, New York, NY 10005
BD
CRD#: 21821
New York, NY

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

State Security Law Exam
RR
Series 63
Date: 8/1/2025
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/23/2025
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 2/27/2025
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/31/2025
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CATHAY SECURITIES, INC.
CATHAY SECURITIES, INC.

CRD#: 21821 / SEC#: , 8-39247

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
40 Wall Street Suite 3600, New York, NY 10005
Mailing Address
40 Wall Street Suite 3600, New York, NY 10005
Phone number
(212) 285-2261
Established
New York since 11/02/1987
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CATHAY CAPITAL MANAGEMENT INC.SHAREHOLDER
LI, XIAOYU NMNCEO, FINOP, GP, SHAREHOLDER7546684
LIU, CHUN NMNSHAREHOLDER7473085
SUNPLUSWEN INTERNATIONAL HOLDINGS LIMITEDSHAREHOLDER
ZOU, YUE NMNSHAREHOLDER7528367
ZAGOTTI, MARK ANTONIOCCO, SROP, CROP, GP2534369

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.

Company Information

CATHAY SECURITIES, INC.

CRD#: 21821New York, NY 10005

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