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Adam Ming-chang Liu

Charles Schwab & CO., Inc.

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About Adam Ming-chang Liu

Adam Ming-chang Liu is a financial advisor with over 24 years of experience in the industry. Adam is currently registered with Charles Schwab & Co., Inc. Adam has previously been registered with TD Ameritrade, Inc., Scottrade, Inc., Charles Schwab & CO., INC. and Smith Barney Inc. Adam is licensed to sell securities in California, Florida, Illinois, New Jersey, New York, Oregon, Texas and Washington. Adam is a Series 7, Series 24, Series 63 and Series 66 licensed professional. Adam has a specialization in Retirement and Asset Management.

Firm Information

Adam Liu is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Adam Liu’s Registration & Firm History

CA

01/26/2022 - Present

Charles Schwab & CO., Inc. (Pasadena CA)

CA

02/26/2018 - 07/29/2024

TD AMERITRADE, INC. (Pasadena CA)

CA

05/16/2002 - 02/26/2018

SCOTTRADE, INC. (SAN GABRIEL CA)

TX

05/25/2000 - 12/17/2001

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

NE

01/12/1999 - 04/26/2000

TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)

NY

06/01/1998 - 09/02/1998

SMITH BARNEY INC. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 12/16/2000

Series 66 - Uniform Combined State Law Examination

BC

Issued 06/20/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/25/2011

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/30/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Adam Ming-chang Liu.
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