Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sung yu? Claim Your ProfileSung Yu Liu is a registered representative with HSBC Securities (USA) Inc. based in Cupertino, CA. Sung Yu Liu has been working in the financial services industry since 2007. Sung Yu Liu has passed the Series 66, Series 7 and the SIE exams. Sung Yu Liu is currently registered with HSBC Securities (USA) Inc. and has previously worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated and Waddell & Reed, Inc. Sung Yu Liu offers portfolio management for individuals and businesses. Sung Yu Liu may also provide asset allocation recommendations, and based upon such recommendations, a third-party advisor may be selected to manage assets pursuant to the client's approval.
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.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval
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.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
CA
10/24/2017 - Present
Hsbc Securities (usa) Inc. (CUPERTINO CA)
CA
10/10/2007 - 08/17/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN JOSE CA)
CA
06/07/2007 - 10/16/2007
WADDELL & REED, INC. (CAMPBELL CA)
BOTH
Issued 07/19/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/23/2007
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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