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Anna liza Yap Liu

Axos Clearing LLC

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About Anna liza Yap Liu

Anna liza Yap Liu is a registered representative with Axos Clearing LLC in Omaha, Nebraska. Anna liza has been in the securities industry since December 16, 2018. Anna liza previously worked at MORGAN STANLEY in Purchase, New York and UBS FINANCIAL SERVICES INC. in Weehawken, New Jersey. Anna liza holds the Series 99 and SIE licenses.

Firm Information

Anna liza Liu is currently registered with Axos Clearing LLC. Axos Clearing LLC is a Limited Liability Company formed in 2004 and is approved to operate in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has one approved SEC registration and is regulated by the Securities and Exchange Commission (SEC).

Not reported

Assets Under Management

Not reported

Total Clients

133

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.

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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Anna liza Liu’s Registration & Firm History

NE

03/07/2024 - Present

Axos Clearing LLC (Omaha NE)

NY

08/22/2022 - 02/29/2024

MORGAN STANLEY (PURCHASE NY)

NJ

09/27/2018 - 06/08/2022

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

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Licenses & Designations

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/27/2018

Series 99 - Operations Professional Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Anna liza Yap Liu.
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