Ivy Liu is a registered investment advisor, based in Bellevue, WA, with 7 years of industry experience.
Location
10900 NE 4th Street Ste 200, Bellevue, WA, 98004
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Cetera Investment Services LLCBroker
July 2022 - Present · 4 yrs
Cetera Investment Advisers LLC
July 2022 - Present · 4 yrs
Previous Registrations
Charles Schwab & CO., INC.
June 2021 - August 2022 · 1 yr 2 mos
Charles Schwab & CO., INC.Broker
June 2021 - August 2022 · 1 yr 2 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
November 2020 - May 2021 · 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 2020 - May 2021 · 9 mos
Hsbc Securities (USA) INC.Broker
July 2019 - August 2020 · 1 yr 1 mo
J.P. Morgan Securities LLCBroker
July 2018 - July 2019 · 1 yr
State Registrations7 states
CACTHIMAORTXWA
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.