Be advised. This advisor is no longer registered as an Independent Advisor Representative. They may still be registered as a broker.
Simon Liu, financial advisor Thousand Oaks CA
93 score

Simon Liu

CRD Number: 4437958
Current Firm: Pacific Financial Strategies, Inc.

Simon Liu (CRD# 4437958) is an Investment Advisor Representative working at Pacific Financial Strategies, Inc. in Thousand Oaks, CA and has over 9 years of experience in the finance industry.

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Company Name Location Dates Years
Pacific Financial Strategies, Inc. Thousand Oaks, CA Jul 2011 - Current 5
Daat Asset Management Westlake Village, CA Dec 2009 - Jun 2011 1
Unemployed Walnut, CA Mar 2007 - Dec 2009 2
Guggenheim Partners Asset Management Santa Monica, CA May 2004 - Mar 2007 2
Exam Code Name Passed Date
S65 NASAA Investment Advisors Law Examination Dec 2006
Contact Info for Simon C. Liu
Phone Number: (818) 991-7794
Firm Website:
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Educational seminars/workshops
Types of Clients
Registered States


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

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