Unclaimed
Dan Liu is a financial advisor with Cetera Investment Advisers LLC. Dan Liu has been in the financial industry since 2018. Dan Liu holds the Series 6, 7, 63, and 66 licenses and provides services including financial planning, portfolio management, and pension consulting. Dan Liu has worked for Cetera Investment Services LLC, HSBC Securities (USA) Inc., HSBC BANK USA NA, HSBC CHINA, and EAST WEST BANK.
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.
A percentage of the total value of assets under management is charged.
1
2
CA
01/17/2023 - Present
Cetera Investment Advisers LLC (Pasadena CA)
CA
10/02/2018 - 04/11/2022
HSBC SECURITIES (USA) INC. (SAN GABRIEL CA)
BOTH
Issued 1/11/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/6/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/15/2021
Series 7TO - General Securities Representative Examination
BC
Issued 10/3/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/2/2018
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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