Individual Firm
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MAGGIE CHI LIU
CHI LIU, MAGGIE CHI CHI LIU, MAGGIE CHI LIU, Maggie Liu
CRD#: 4437748
IA
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BORDEAUX WEALTH ADVISORSCRD#: 287758 1550 EL CAMINO REAL
SUITE 100
MENLO PARK, CA 94025
SUITE 100
MENLO PARK, CA 94025
View By:
3/23/2021
Customer Dispute
Withdrawn
State Registrations
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California 7/5/2023
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Registered with this firm since 7/5/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/04/2020 - 07/19/2023 | Los Gatos, CA | |
IA | 10/11/2018 - 01/31/2020 | CAMPBELL, CA | |
B | 10/02/2018 - 01/28/2020 | CAMPBELL, CA | |
IA | 06/07/2017 - 09/21/2018 | CUPERTION, CA | |
B | 06/07/2017 - 09/21/2018 | CUPERTINO, CA | |
IA | 06/02/2015 - 06/06/2017 | BELLEVUE, WA | |
B | 04/27/2015 - 06/06/2017 | BELLEVUE, WA | |
B | 01/01/2006 - 01/06/2015 | SAN JOSE, CA | |
B | 04/12/2002 - 03/26/2003 | DULUTH, GA | |
B | 09/21/2001 - 04/12/2002 | DULUTH, GA |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.