Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Chao-wei? Claim Your ProfileChao-wei Liu is an investment advisor representative at UBS Financial Services Inc.. Chao-wei has been in the industry since February 14, 2009. Chao-wei is registered with FINRA and is licensed in New York. Chao-wei has previously worked for HSBC Securities (USA) Inc., J.P. Morgan Securities LLC, Chase Investment Services Corp., Hold Brothers Capital LLC, Hold Brothers On-Line Investment Services L.L.C., World Group Securities, Inc. and Crucible Capital Group, Inc.. Chao-wei holds the Series 7, Series 63, Series 65 and SIE licenses. Chao-wei is currently registered with UBS Financial Services Inc. and is licensed in New York.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
NY
05/10/2024 - Present
UBS Financial Services Inc. (New York NY)
NY
11/20/2013 - 06/05/2020
HSBC SECURITIES (USA) INC. (NEW YORK NY)
NY
10/01/2012 - 11/14/2013
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
07/25/2011 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (NEW YORK NY)
NY
02/08/2011 - 03/11/2011
HOLD BROTHERS CAPITAL LLC (NEW YORK NY)
NY
02/03/2011 - 03/04/2011
HOLD BROTHERS ON-LINE INVESTMENT SERVICES L.L.C. (NEW YORK NY)
NY
06/21/2010 - 12/21/2010
WORLD GROUP SECURITIES, INC. (NEW YORK NY)
NY
09/25/2006 - 07/29/2008
CRUCIBLE CAPITAL GROUP, INC. (NEW YORK NY)
IA
Issued 12/04/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/23/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/22/2006
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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