Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Xichan? Claim Your ProfileXichan Liu is a financial advisor registered with Rockefeller Financial LLC and has been active in the industry since August 21, 2014. Xichan has a strong background in financial services, having worked with a variety of firms, including Wells Fargo Clearing Services, LLC, HSBC Securities (USA) Inc., Morgan Stanley Smith Barney LLC, and First Republic Securities Company, LLC. Xichan holds Series 7, 9, 10, 63, and 65 licenses and specializes in providing financial planning, portfolio management, and selection of other advisors for individuals, businesses, and investment companies.
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.
Guidance on pension options to ensure a secure financial future.
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.
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2
CA
05/11/2022 - Present
Rockefeller Financial LLC (San Francisco CA)
NY
01/28/2022 - 05/13/2022
MORGAN STANLEY (PURCHASE NY)
CA
04/18/2022 - 04/26/2022
FIRST REPUBLIC SECURITIES COMPANY, LLC (Palo Alto CA)
CA
06/28/2018 - 01/10/2022
WELLS FARGO CLEARING SERVICES, LLC (SAN JOSE CA)
CA
07/15/2014 - 06/06/2018
HSBC SECURITIES (USA) INC. (SAN JOSE CA)
IA
Issued 03/11/2022
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/31/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/01/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/09/2017
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/15/2014
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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