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Yang Liu

LPl Enterprise, LLC

New York, NY

Flushing, NY

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Current Employers
Lpl Enterprise, Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-11-14
  • NY RA
    APPROVED
    Since 2024-11-14

Branch Locations

1270 Avenue Of The Americas Ste 1000, New York, NY 10020 • United States

136-20 38Th Ave Suite 11G-4, Flushing, NY 11354 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Pruco Securities, Llc. Flushing NY 05/2001 11/2024
Prudential Insurance Company Of America Flushing NY 05/2001 Present
Lpl Enterprise, Llc New York NY 11/2024 Present
Previous Registrations
  • 2021-06-07 → 2024-11-14
    Pruco Securities, Llc.
    Flushing, NY
    Flushing, NY
    Flushing, NY
    Flushing, NY
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-12-17
S63 Uniform Securities Agent State Law Examination 2001-07-25
  • S65 Uniform Investment Adviser Law Examination
    2001-12-17
  • S63 Uniform Securities Agent State Law Examination
    2001-07-25

View on SEC IAPD

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