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Johnny Liu

Ameriprise Financial Services, LLC

Diamond Bar, CA

CRD 8049472

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Employer firm

Ameriprise Financial Services, LLC CRD 6363

$660B regulatory AUM 124,349 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-06-10
CA RA APPROVED 2026-01-26
  • TX RA
    APPROVED
    Since 2026-06-10
  • CA RA
    APPROVED
    Since 2026-01-26

Branch Locations

21680 Gateway Center Dr Bldg A Ste 310, Diamond Bar, CA 91765-2459 • 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
Ameriprise Financial Services, Llc Diamond Bar CA 03/2025 Present
Sushiholics West Covina CA 08/2024 03/2025
Asucla Los Angeles CA 10/2022 06/2024
University Of California, Los Angeles Los Angeles CA 06/2020 06/2024
West Covina Unified School District West Covina CA 10/2015 06/2020
  • 03/2025 → Present
    Ameriprise Financial Services, Llc
    Diamond Bar, CA
  • 08/2024 → 03/2025
    Sushiholics
    West Covina, CA
  • 10/2022 → 06/2024
    Asucla
    Los Angeles, CA
  • 06/2020 → 06/2024
    University Of California, Los Angeles
    Los Angeles, CA
  • 10/2015 → 06/2020
    West Covina Unified School District
    West Covina, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-01-13
  • S66 Uniform Combined State Law Examination
    2026-01-13
Other Names
  • Johnny Liu

View on SEC IAPD

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