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IGNATIUS SUN TING LIU
IGNATIUS Sun Ting LIU, IGNATIUS LIU
CRD#: 5154472
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 1780 Hughes Landing Blvd.
SUITE 200
THE WOODLANDS, TX 77380-1687
Registration History
200620082010201220142016201820202022202420262 FIRMS2007 - 2010 (3 years)2 FIRMS2018 - 2023 (4 years)2 FIRMS2023 - Present (1 year)BCITICORP INVESTMENT SERVICES (CRD# 23988)2006 - 2007 (<1 year)IACITICORP INVESTMENT SERVICES (CRD# 23988)2007 - 2007 (<1 year)
License(s)

State Registrations

B
California 6/2/2023

B
Maryland 6/26/2024

B
Delaware 7/11/2023

B
Texas 6/2/2023

B
Indiana 8/22/2024

IA
Texas 6/2/2023

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1780 Hughes Landing Blvd. SUITE 200, THE WOODLANDS, TX 77380-1687
Registered with this firm since 6/2/2023

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1780 Hughes Landing Blvd. SUITE 200, THE WOODLANDS, TX 77380-1687
Registered with this firm since 6/2/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
09/18/2018 - 06/09/2023 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) THE WOODLANDS, TX
B
09/17/2018 - 06/09/2023 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) THE WOODLANDS, TX
IA
05/29/2007 - 05/19/2010 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
B
05/29/2007 - 05/19/2010 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
IA
03/07/2007 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) NEW YORK, NY
B
11/06/2006 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) NEW YORK, NY
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B
Broker
IA
Investment Adviser
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.