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Guoan Liu

Ubs Financial Services Inc.

San Francisco, CA

San Francisco, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-09-22
  • CA RA
    APPROVED
    Since 2022-09-22

Branch Locations

555 California Street 33Rd Floor, San Francisco, CA 94104 • United States

San Francisco, CA • 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
J.P. Morgan Securities Llc San Francisco CA 06/2019 05/2022
Navadeal Brisbane CA 01/2019 03/2019
Jpmorgan Chase Bank, N.A. San Francisco CA 06/2019 05/2022
Unemployed San Francisco CA 09/2016 10/2018
Unemployed San Francisco CA 04/2019 05/2019
Amazon South San Francisco CA 11/2018 12/2018
Polywen San Francisco CA 09/2019 05/2022
Ubs Financial Services San Francisco CA 05/2022 Present
  • 06/2019 → 05/2022
    J.P. Morgan Securities Llc
    San Francisco, CA
  • 01/2019 → 03/2019
    Navadeal
    Brisbane, CA
  • 06/2019 → 05/2022
    Jpmorgan Chase Bank, N.A.
    San Francisco, CA
  • 09/2016 → 10/2018
    Unemployed
    San Francisco, CA
  • 04/2019 → 05/2019
    Unemployed
    San Francisco, CA
  • 11/2018 → 12/2018
    Amazon
    South San Francisco, CA
  • 09/2019 → 05/2022
    Polywen
    San Francisco, CA
  • 05/2022 → Present
    Ubs Financial Services
    San Francisco, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-09-22
S63 Uniform Securities Agent State Law Examination 2019-09-20
  • S66 Uniform Combined State Law Examination
    2022-09-22
  • S63 Uniform Securities Agent State Law Examination
    2019-09-20
Other Names
  • Guoan Andy Liu
  • Andy Liu
  • An Guo Liu
  • Guoan A Liu

View on SEC IAPD

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Other Offices

FORT POINT CAPITAL PARTNERS LLC · SAN FRANCISCO, CA
DIVISAR CAPITAL MANAGEMENT, LLC · SAN FRANCISCO, CA
CHARLES SCHWAB & CO., INC. · San Francisco, CA
1SHARPE CAPITAL LLC · SAN FRANCISCO, CA
RBC SECURITIES, INC · SAN FRANCISCO, CA
STRATEGIC ADVISERS LLC · SAN FRANCISCO, CA
VALEAS CAPITAL PARTNERS · SAN FRANCISCO, CA
ZENTARA EXCHANGE LTD · SAN FRANCISCO, CA

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