Johnny Liu, financial advisor Artesia CA
93 score

Johnny Liu

CRD Number: 4429365
Current Firm: Hsbc Securities (usa) Inc.

Johnny Liu (CRD# 4429365) is an Investment Advisor Representative working at Hsbc Securities (usa) Inc. in Artesia, CA and has over 15 years of experience in the finance industry.

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Company Name Location Dates Years
Hsbc Bank Usa N.a. Artesia, CA May 2014 - Current 2
Hsbc Bank (usa) N.a. Rowland, CA Oct 2009 - May 2014 4
Wachovia Bank, N.a. Irvine, CA Nov 2007 - Oct 2009 1
Wachovia Securities, LLC Irvine, CA Nov 2007 - Oct 2009 1
Wells Fargo Investments, LLC Fullerton, CA May 2004 - Nov 2007 3
Wells Fargo Bank Fullerton, CA May 2004 - Nov 2007 3
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Aug 2001
Contact Info for Johnny T. Liu
Phone Number: 212-525-2879
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    2,985
    MILLIONS
  • Total Number of Accounts
    12,340
    ACCOUNTS
  • Average Account Value
    $241,893
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Performance-based fees
Advisory Services Offered
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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