Xiao Liu

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2020-01-30
CA	RA	APPROVED	2019-11-26

TX RA
APPROVED

Since 2020-01-30
CA RA
APPROVED

Since 2019-11-26

Branch Locations

4250 Dublin Blvd, Dublin, CA 94568 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Pleasanton	CA	09/2015	Present
Bank Of America, N.A.	Pleasanton	CA	09/2015	Present

09/2015 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pleasanton, CA
09/2015 → Present

Bank Of America, N.A.

Pleasanton, CA

Other Businesses

I*8971 For profit or not for profit: Name of outside business organization: Xiao Liu Investment related: Address of business: Sacramento, California 95834 Nature of business: , Position, title, association: , Start date of relationship: 3/12/2015 Number of hours devoted: 10 hour(s) Number of hours devoted during trading hours: 0 Duties: I*503684 For profit or not for profit: Name of outside business organization: Xiao Liu Investment related: N Address of business: Rocklin, California, 95765 Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 6/16/2022 Number of hours devoted: 10 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: ,

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2019-11-25

S66 Uniform Combined State Law Examination

2019-11-25

Other Names

Alex Liu
Alex Liu

View on SEC IAPD