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Detailed Report
WAN-LIN LIAO
CRD#: 6008382
IA
Investment Adviser
B
Broker
GRIFFINEST ASIA ASSET MANAGEMENT, LLCCRD#: 306355 301 N. LAKE AVE.,
SUITE 110
PASADENA, CA 91101
GRIFFINEST ASIA SECURITIES, LLCCRD#: 132187 301 NORTH LAKE AVENUE
SUITE 110
PASADENA, CA 91101
Registration History
2014201620182020202220242026IAGRIFFINEST ASIA ASSET MANAGEME... (CRD# 306355)2020 - Present (5 years)BGRIFFINEST ASIA SECURITIES, LLC (CRD# 132187)2013 - Present (12 years)
License(s)

State Registrations

B
California 9/4/2018
IA
California 1/3/2020

SRO Registrations

B
 FINRA

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
GRIFFINEST ASIA ASSET MANAGEMENT, LLC (CRD#:306355)
301 N. LAKE AVE., SUITE 110, PASADENA, CA 91101
Registered with this firm since 1/3/2020
B
GRIFFINEST ASIA SECURITIES, LLC (CRD#:132187)
301 NORTH LAKE AVENUE SUITE 110, PASADENA, CA 91101
Registered with this firm since 1/4/2013
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.