SL
CFP
SL
CFP
Shih-Hua Liu
38 Years of Experience
Beverly Hills, CA
4 DisclosuresBroker
Shih-Hua Liu is a CFP-designated registered investment advisor at Morgan Stanley, based in Beverly Hills, CA, with 38 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
9665 Wilshire Boulevard, Suite 600, Beverly Hills, CA, 90212
Get directionsHistory
Regulatory History (4)
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Regulatory
November 1995Final
Employment Separation After Allegations
October 1992Customer Dispute
October 1992Settled
Customer Dispute
August 1992Settled
Employment History
Current Registrations
Morgan StanleyBroker
October 2020 - Present · 5 yrs 7 mos
Morgan Stanley
October 2020 - Present · 5 yrs 7 mos
Previous Registrations
Wells Fargo Clearing Services, LLC
January 2008 - October 2020 · 12 yrs 9 mos
Wells Fargo Clearing Services, LLCBroker
January 2008 - October 2020 · 12 yrs 9 mos
A. G. Edwards & Sons, INC.
March 2001 - January 2008 · 6 yrs 10 mos
Interfirst Capital CorporationBroker
May 2000 - May 2000 · 0 mos
A. G. Edwards & Sons, INC.Broker
May 2000 - January 2008 · 7 yrs 8 mos
Drake & Company, INC.Broker
April 1993 - May 2000 · 7 yrs 1 mo
Lehman Brothers INC.Broker
January 1993 - January 1993 · 0 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
April 1988 - October 1992 · 4 yrs 6 mos
Drexel Burnham Lambert IncorporatedBroker
June 1987 - February 1988 · 8 mos
State Registrations29 states
AZCACOCTDCDEFLGAHIIDILINMAMDMIMSMTNCNJNMNVNYORPASCTXVAWAWY
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.