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Tadd Liu

BMO Capital Markets Corp.

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About Tadd Liu

Tadd Liu is a financial professional with over 16 years of experience in the industry. Tadd is currently registered with BMO Capital Markets Corp. and has been with the firm since May 2022. Prior to that, Tadd was registered with WELLS FARGO INVESTMENTS, LLC. Tadd holds Series 7, 66, SIE, and 99TO licenses. Tadd specializes in portfolio management for pooled investment vehicles and providing securities trading ideas and research.

Firm Information

Tadd Liu is currently registered with BMO Capital Markets Corp.. BMO Capital Markets Corp. is a Corporation headquartered in NEW YORK, NY. Founded in March 1988, the firm has a broad reach with state-level registrations in all 50 states plus Puerto Rico and the Virgin Islands. It offers investment advisory services, including portfolio management for pooled investment vehicles, and holds approximately $10 billion - $50 billion in assets. BMO Capital Markets Corp. primarily serves investment companies and pooled investment vehicles, with a total of 113 clients and $796,416,350 in regulatory assets under management.
BMO Capital Markets Corp.

151 WEST 42ND STREET

NEW YORK, NY 10036

$796.42M

Assets Under Management

113

Total Clients

178

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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provision of securities trading ideas and research

Provision of securities trading ideas and research

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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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Fees for securities trading ideas and research

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Tadd Liu’s Registration & Firm History

NY

05/11/2022 - Present

BMO Capital Markets Corp. (New York NY)

CA

02/27/2006 - 12/05/2006

WELLS FARGO INVESTMENTS, LLC (SAN DIEGO CA)

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Licenses & Designations

BOTH

Issued 03/08/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 05/11/2022

Series 99TO - Operations Professional Examination

BC

Issued 04/25/2022

SIE - Securities Industry Essentials Examination

BC

Issued 02/24/2006

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Tadd Liu.
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