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William E Liu

Barclays Capital Inc.

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About William E Liu

William Liu is a registered representative with Barclays Capital Inc. and is currently based in NEW YORK, NY. William's registration with the firm dates back to March 15, 2022. William has previous experience working for RBC CAPITAL MARKETS, LLC. William holds the Series 99 and SIE licenses and has been in the securities industry for over 5 years.

Firm Information

William Liu is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

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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William Liu’s Registration & Firm History

NY

03/15/2022 - Present

Barclays Capital Inc. (NEW YORK NY)

NJ

01/30/2018 - 03/30/2022

RBC CAPITAL MARKETS, LLC (Jersey City NJ)

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Licenses & Designations

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/30/2018

Series 99 - Operations Professional Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for William E Liu.
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