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Detailed Report
ADAM MING-CHANG LIU
ADAM MINGCHANG LIU
CRD#: 2922646
IA
Investment Adviser
B
Broker
CHARLES SCHWAB & CO., INC.CRD#: 5393 2 North Lake Avenue
Suite 100
Pasadena, CA 91101
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2022 - Present (3 years)BTD AMERITRADE, INC. (CRD# 7870)2018 - 2024 (6 years)BSCOTTRADE, INC. (CRD# 8206)2002 - 2018 (15 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2000 - 2001 (1 year)BTD WATERHOUSE INVESTOR SERVICE... (CRD# 7870)1999 - 2000 (1 year)BSMITH BARNEY INC. (CRD# 7059)1998 - 1998 (<1 year)IATD AMERITRADE INVESTMENT MANAG... (CRD# 111514)2018 - 2023 (5 years)IATD AMERITRADE, INC. (CRD# 7870)2018 - 2022 (4 years)IASCOTTRADE INVESTMENT MANAGEMENT (CRD# 169988)2016 - 2018 (1 year)
License(s)

State Registrations

B
California 1/26/2022
B
Tennessee 9/17/2024
IA
California 1/26/2022
B
Texas 1/26/2022
B
Florida 1/26/2022
B
Virginia 9/17/2024
B
New York 1/26/2022
B
Washington 1/26/2022

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CHARLES SCHWAB & CO., INC. (CRD#:5393)
2 North Lake Avenue Suite 100, Pasadena, CA 91101
Registered with this firm since 1/26/2022
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
2 North Lake Avenue Suite 100, Pasadena, CA 91101
Registered with this firm since 1/26/2022
Previous Registration(s)
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B
 02/26/2018 - 07/29/2024 TD AMERITRADE, INC. (CRD#:7870) Pasadena, CA
IA
 02/26/2018 - 09/07/2023 TD AMERITRADE INVESTMENT MANAGEMENT, LLC (CRD#:111514) PASADENA, CA
IA
 02/27/2018 - 10/14/2022 TD AMERITRADE, INC. (CRD#:7870) Pasadena, CA
IA
 09/22/2016 - 02/26/2018 SCOTTRADE INVESTMENT MANAGEMENT (CRD#:169988) SAINT LOUIS, MO
B
 05/16/2002 - 02/26/2018 SCOTTRADE, INC. (CRD#:8206) SAN GABRIEL, CA
B
 05/25/2000 - 12/17/2001 CHARLES SCHWAB & CO., INC. (CRD#:5393) WESTLAKE, TX
B
 01/12/1999 - 04/26/2000 TD WATERHOUSE INVESTOR SERVICES, INC. (CRD#:7870) OMAHA, NE
B
 06/01/1998 - 09/02/1998 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.