Chun Liu is a registered investment advisor, based in City of Industry, CA, with 5 years of industry experience. Chun is also registered as a broker, so some compensation may come from commissions on products sold.
Location
17800 Castleton St., Suite 418, City of Industry, CA, 91748
Get directionsHistory
Regulatory History (1)
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.
Employment Separation After Allegations
November 2024Other Business Activities
Chun is a landlord for a rental property in Germantown, MD. This non-investment related activity requires minimal time.
Employment History
Current Registrations
Kovack Advisors, INC.
January 2025 - Present · 1 yr 9 mos
Kovack Securities INC.Broker
January 2025 - Present · 1 yr 9 mos
Previous Registrations
Ameriprise Financial Services, LLC
September 2020 - November 2024 · 4 yrs 2 mos
Ameriprise Financial Services, LLCBroker
September 2020 - November 2024 · 4 yrs 2 mos
State Registrations5 states
CAMDTXVAWV
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.
More Advisors
- Henry Lau, ChFCJ.P. Morgan Securities LLC