Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jack? Claim Your ProfileJack P. Liu is an investment advisor representative with Wealthpenn.comllc in New York, NY. Jack has been in the industry since 1992. Jack has a Series 7, 9, 10, 24, 63, 65, and 66 license.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NY
12/06/2022 - Present
Wealthpenn.comllc (New York NY)
NY
01/01/2005 - 12/12/2011
HSBC SECURITIES (USA) INC. (FLUSHING NY)
NY
12/13/2001 - 01/01/2005
HSBC BROKERAGE (USA) INC. (NEW YORK NY)
NY
10/12/1999 - 12/11/2001
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NY
05/19/1995 - 11/04/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
12/12/1997 - 12/19/1997
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
07/31/1993 - 05/30/1995
SMITH BARNEY INC. (NEW YORK NY)
NY
04/22/1993 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
09/14/1992 - 04/23/1993
SUPPES SECURITIES, INC. (NYC NY)
BOTH
Issued 3/31/2004
Series 66 - Uniform Combined State Law Examination
IA
Issued 9/2/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 9/17/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 7/30/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 1/28/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 9/28/2001
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 9/12/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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