LL
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Linda Liu is a registered investment advisor at Wells Fargo Advisors, based in New York, NY, with 23 years of industry experience. Linda is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Divorce Planning, Education Planning, Financial Planning & Coaching, and 2 more. Their firm serves 1,324,168 clients with $670B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
14699 advisors
IM Fee
Planning only
Assets Under Management
$671.4B
Fee Structure
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
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Location
460 Broadway, New York, NY, 10013
Get directionsHistory
Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
December 2021Settled
Customer Dispute
December 2020Settled
Customer Dispute
August 2016Denied
Employment History
Current Registrations
Wells Fargo Advisors
May 2025 - Present · 1 yr 5 mos
Wells Fargo Clearing Services, LLCBroker
April 2025 - Present · 1 yr 6 mos
Previous Registrations
Wells Fargo Advisors
April 2025 - April 2025 · 0 mos
Cetera Investment Advisers LLC
January 2014 - April 2025 · 11 yrs 3 mos
Cetera Investment Services LLCBroker
March 2013 - April 2025 · 12 yrs 1 mo
Cetera Investment Services LLC
March 2013 - January 2014 · 10 mos
Cetera Investment Services LLC
December 2007 - March 2013 · 5 yrs 3 mos
Cetera Investment Services LLCBroker
December 2007 - March 2013 · 5 yrs 3 mos
AXA Advisors, LLCBroker
February 2007 - December 2007 · 10 mos
Kellogg Capital Group LLCBroker
February 2004 - June 2005 · 1 yr 4 mos
Performance Specialist Group LLCBroker
April 2002 - December 2002 · 8 mos
Performance Specialist Group, LLCBroker
October 2001 - April 2002 · 6 mos
Puglisi, Robert GasparBroker
July 2001 - March 2002 · 8 mos
Wagner Stott Bear Specialists LLCBroker
April 2001 - August 2001 · 4 mos
Wagner Stott Mercator, L.L.C.Broker
March 2000 - April 2001 · 1 yr 1 mo
State Registrations12 states
CACTDEFLGAMANJNYPASCTXWA
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.
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