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Emily Rose Liao

Capital Client Group, Inc.

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About Emily Rose Liao

Emily Rose Liao is a financial professional with extensive experience in the investment industry. Emily has been a registered representative since 2004 and has held various roles at different financial institutions, including Commonwealth Financial Network and Capital Client Group, Inc. Emily holds multiple licenses and certifications, including Series 7, 24, 26, 63, 65, 82 and SIE. Emily has a strong understanding of the financial markets and is committed to providing clients with personalized advice and guidance.

Firm Information

Emily Liao is currently registered with Capital Client Group, Inc.. Capital Client Group, Inc. is a corporation established in 1972 and headquartered in Los Angeles, California. The firm provides various investment advisory services, including recommending affiliate as an investment advisor of SMA assets. They primarily serve corporations, individuals, insurance companies, investment companies, and other investment advisors. The firm is registered with the SEC and in 53 states.
Capital Client Group, Inc.

333 SOUTH HOPE STREET

LOS ANGELES, CA 90071-1406

Not reported

Assets Under Management

Not reported

Total Clients

619

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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recommending affiliate as investment adviser of sma assets

Recommending affiliate as investment adviser of sma assets

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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other

As agreed upon in a manner that covers registrant's costs

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Emily Liao’s Registration & Firm History

NY

08/16/2024 - Present

Capital Client Group, Inc. (New York NY)

MA

11/09/2004 - 04/18/2006

COMMONWEALTH FINANCIAL NETWORK (WALTHAM MA)

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Licenses & Designations

IA

Issued 02/16/2017

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 09/16/2016

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/18/2016

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 11/29/2005

Series 24 - General Securities Principal Examination

BC

Issued 11/20/2020

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/13/2017

Series 82 - Limited Representative-Private Securities Offerings

BC

Issued 05/05/2016

Series 6 - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 11/08/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Emily Rose Liao.
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