Shu Chi Liu Ouk

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2016-07-14
CA	RA	APPROVED	2012-11-28

TX RA
APPROVED_RES

Since 2016-07-14
CA RA
APPROVED

Since 2012-11-28

Branch Locations

11440 W Bernardo Ct #206, San Diego, CA 92127-1644 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial Llc	San Diego	CA	11/2012	Present

11/2012 → Present

Lpl Financial Llc

San Diego, CA

Previous Registrations

2008-07-28 → 2012-11-27

Edward Jones

Poway, CA

St Louis, MO

San Diego, CA

Poway, CA

Other Businesses

(1) 01/31/2015: SL Wealth Management, Inc. - Business Entity For Tax/Investment Purposes Only - Investment Related - 10636 Scripps Summit Court, Suite 150 San Diego, CA 92131 - Start 01/01/2015 - 160 Hr/Mo; 100 Hour(s) During Securities Trading - SL Wealth Management will be offering financial securities and services thru LPL Financial including portfolio analysis, retirement planning, investment management, estate planning, college funding, and providing educational seminars. (2) 09/15/2016: No Business Name - Real Estate Rental - San Diego, CA 92131 - Start 09/01/2015 - 0 Hr/Mo - duplex rental property

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-07-24

S66 Uniform Combined State Law Examination

2008-07-24

Other Names

Shu-Chi Liu
Susie Liu
Shu-Chi Liu Ouk

View on SEC IAPD

Current Employers

Lpl Financial Llc

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Names

Other Firms

Other Investors

Other Offices

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