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Norman Liu

Nylife Securities LLC

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About Norman Liu

Norman Liu is a financial advisor with Nylife Securities LLC in Denver, Colorado. Norman has been in the industry since 1994 and has a strong background in both investment advisory and brokerage services. Norman has a Series 7, 8, 24, 63, and 65 licenses and is registered in Colorado and Wyoming. Norman's previous experience includes roles at Charles Schwab & Co., Inc., TIAA-CREF Individual & Institutional Services, LLC, and Advest, Inc.

Firm Information

Norman Liu is currently registered with Nylife Securities LLC. Nylife Securities LLC is a Limited Liability Company formed in 2007, registered in 51 states and the SEC. The firm has been involved in 13 regulatory events and 7 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

4,464

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.

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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Norman Liu’s Registration & Firm History

CO

03/23/2022 - Present

Nylife Securities LLC (DENVER CO)

MD

05/09/2016 - 12/04/2019

CHARLES SCHWAB & CO., INC. (Gaithersburg MD)

CO

04/19/2006 - 06/30/2015

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (DENVER CO)

TX

04/26/1991 - 03/07/2006

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

CT

09/12/1990 - 11/01/1990

ADVEST, INC. (HARTFORD CT)

NA

08/30/1989 - 09/20/1989

FIRST FIDELITY CAPITAL CORP.

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Licenses & Designations

IA

Issued 05/12/2006

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/29/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/22/2007

Series 24 - General Securities Principal Examination

BC

Issued 09/10/1994

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/19/1989

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Norman Liu.
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