Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Michael Liu is a financial advisor with over 12 years of experience in the industry. David is currently registered with Wells Fargo Clearing Services, LLC and is licensed to provide investment advice in California and Texas. David is also a registered principal with Wells Fargo Clearing Services, LLC, and has held this position since 2018. David previously worked as a financial advisor with National Planning Corporation from 2010 to 2018.
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.
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.
Investment consulting services to institutional clients
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.
1
2
CA
06/22/2023 - Present
Wells Fargo Clearing Services, LLC (BEVERLY HILLS CA)
CA
08/04/2010 - 01/02/2018
NATIONAL PLANNING CORPORATION (El Segundo CA)
BOTH
Issued 11/09/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/27/2018
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/11/2018
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/17/2012
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/03/2010
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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