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Current Employers
Aegis Capital Corp.

1345 Avenue Of The Americas 27Th Floor, New York, NY 10105 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-07-26
CA RA APPROVED 2011-03-11
  • NY RA
    APPROVED
    Since 2021-07-26
  • CA RA
    APPROVED
    Since 2011-03-11

Branch Locations

1345 Avenue Of The Americas 27Th Floor, New York, NY 10105 • United States

1305 Walt Whitman Rd Suite 120, Melville, NY 11747 • United States

Disclosures

2 disclosure categories 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 Yes
Employment History
OrganizationCityStateFromTo
Aegis Capital Corp. New York NY 03/2011 Present
Previous Registrations
  • 2004-06-07 → 2010-12-16
    Chase Investment Services Corp.
    New York, NY
    New York City, NY
  • 2002-11-25 → 2004-06-17
    Quick & Reilly, Inc.
    New York, NY
Other Businesses

1) HOMELAND 88 LLC. 46 MCGOVERN DR. MELVILLE, NY 11747 - SOLE OWNER, REAL ESTATE MANAGEMENT START DATE: MAY 2013, 10-15 HOURS PER WEEK DURING NON SECURITIES TRADING HOURS

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-10-13
S63 Uniform Securities Agent State Law Examination 1994-01-26
  • S65 Uniform Investment Adviser Law Examination
    1998-10-13
  • S63 Uniform Securities Agent State Law Examination
    1994-01-26
Other Names
  • Henry Jihua Liu
  • Henry Liu
  • Jihua Liu
  • Henry Liu
  • Henry Jihua Liu

View on SEC IAPD

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