Individual Firm
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JULIE LIU
CRD#: 5335207
IA
B
MORGAN STANLEYCRD#: 149777 55 South Lake Avenue Pasadena Towers - Tower II
Suite 700
Pasadena, CA 91101
Suite 700
Pasadena, CA 91101
0
Disclosures
15
Years of Experience
View By:
State Registrations
B
Arizona 9/23/2019
B
Minnesota 1/14/2023
B
California 5/29/2014
B
Missouri 1/14/2023
IA
California 5/30/2014
B
Nevada 8/25/2014
B
Colorado 7/2/2021
B
New Jersey 9/15/2021
B
Connecticut 5/5/2021
B
New York 8/25/2014
B
Delaware 10/3/2017
B
North Carolina 1/27/2021
B
Florida 8/25/2014
B
North Dakota 3/31/2020
B
Georgia 5/5/2021
B
Ohio 6/17/2022
B
Hawaii 3/2/2016
B
Oregon 8/21/2014
B
Illinois 3/12/2019
B
Texas 11/8/2021
B
Indiana 9/23/2022
IA
Texas 11/19/2021
B
Maryland 6/16/2022
B
Utah 3/12/2019
B
Massachusetts 1/15/2019
B
Virginia 9/15/2021
B
Michigan 8/25/2014
B
Washington 12/17/2019
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 5/30/2014
B
Registered with this firm since 5/29/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/01/2013 - 05/19/2014 | PASADENA, CA | |
B | 05/01/2013 - 05/19/2014 | PASADENA, CA | |
B | 09/02/2010 - 04/19/2013 | PASADENA, CA | |
IA | 12/27/2009 - 09/14/2010 | PASADENA, CA | |
B | 07/09/2009 - 09/14/2010 | PASADENA, CA |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.