Kevin Shang Yi Liu

Current Employers

Employment History

• 06/2012 → 09/2023
  Independent Capital Management
  San Diego, CA
• 06/2012 → Present
  Sagepoint Financial
  Phoenix, AZ
• 09/2023 → Present
  Osaic Wealth, Inc.
  San Diego, CA

Previous Registrations

• 2016-10-28 → 2023-09-01
  Osaic Services, Inc.
  San Diego, CA

Other Businesses

1.ICM REAL ESTATE; NOT INVESTMENT-RELATED; 27281 LAS RAMBIAS, SUITE #130, MISSION VIEJO, CA 92691; MORTGAGE BROKERAGE; STARTED 08/10/2012; 5 HOURS/ 0 SECURITIES HOURS; MORTGAGE ORIGINATION... 2.CERTIFIED CITADEL ESTATE PLANNER; NOT INVESTMENT-RELATED; 2372 MORSE AVENUE, IRVINE, CA 92614; CORPORATION; STARTED 08/10/2012; 6 HOURS/ 0 SECURITIES HOURS; REFERRING CLIENTS TO A LAW FIRM, CITADEL, FOR ESTATE PLANNING NEEDS SUCH AS LIVING TRUSTS... 3.ICM, YES, 3131 CAMINO DEL RIO, SUITE 1150, SAN DIEGO, CA 92108, CORP, EMPLOYEE, 8/10/12, 160HRS/MONTH, 130HRS DT, EMPLOYEE OF ICM, INC. 4.ICM, YES, 3131 CAMINO DEL RIO, SUITE 1150, SAN DIEGO, CA 92108, CORP, AGENT, 8/10/12, 40HRS/MONTH, 00HRS DT, SALE OF TRADITIONAL LIFE INSURANCE PRODUCTS. 5. COINBASE, INC. POSITION: User NATURE: It is not business related, it is a personal account. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2016 ADDRESS: 100 Pine Street, Suite 1250, San Francisco CA 94111, United States DESCRIPTION: Cryptocurrency exchange based in San Francisco, CA.

Exams

• S65 Uniform Investment Adviser Law Examination
  2016-10-25
• S63 Uniform Securities Agent State Law Examination
  2012-07-20