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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Vivian? Claim Your ProfileVivian Liu is an Investment Advisor Representative with Fidelity Personal AND Workplace Advisors. Vivian has been in the industry since 1997, and has worked for Fidelity Personal AND Workplace Advisors since 2018. Vivian is registered with the state of California as an Investment Advisor Representative. Vivian is also registered with the state of Texas as an Investment Advisor Representative. Vivian has passed several securities exams including the Series 7, Series 10, Series 9, Series 63, and Series 65. Vivian has a strong track record of providing financial advice to clients, and is committed to helping clients achieve their financial goals.
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.
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.
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.
1
2
CA
07/13/2018 - Present
Fidelity Personal AND Workplace Advisors (BREA CA)
CA
03/03/2008 - 07/08/2008
BANC OF AMERICA INVESTMENT SERVICES, INC. (PASADENA CA)
CA
12/08/2004 - 03/04/2008
TD AMERITRADE, INC. (RANCHO CUCAMONGA CA)
TX
11/03/1997 - 11/24/2004
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
IA
Issued 10/19/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/04/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/12/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/28/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/17/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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