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Ignatius Sun Ting Liu

Ubs Financial Services Inc.

Houston, TX

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-06-02
  • TX RA
    APPROVED
    Since 2023-06-02

Branch Locations

750 Town And Country Blvd Suite 400, Houston, TX 77024 • 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
Wells Fargo Bank Houston TX 08/2018 05/2023
Wells Fargo Clearing Services Houston TX 08/2018 05/2023
Morgan Stanley Capital International (Msci) Hong Kong 09/2011 08/2018
Ubs Financial Services Inc. Houston TX 06/2023 Present
  • 08/2018 → 05/2023
    Wells Fargo Bank
    Houston, TX
  • 08/2018 → 05/2023
    Wells Fargo Clearing Services
    Houston, TX
  • 09/2011 → 08/2018
    Morgan Stanley Capital International (Msci)
    Hong Kong
  • 06/2023 → Present
    Ubs Financial Services Inc.
    Houston, TX
Previous Registrations
  • 2018-09-18 → 2023-06-09
    Wells Fargo Clearing Services, Llc
    Minneapolis, MN
    Houston, TX
    The Woodlands, TX
    Tarpon Springs, FL
    Houston, TX
  • 2007-05-29 → 2010-05-19
    Citigroup Global Markets Inc.
    New York, NY
    New York, NY
    Long Island City, NY
    New York, NY
  • 2007-03-07 → 2007-05-29
    Citicorp Investment Services
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-10-01
S65 Uniform Investment Adviser Law Examination 2018-05-03
  • S66 Uniform Combined State Law Examination
    2018-10-01
  • S65 Uniform Investment Adviser Law Examination
    2018-05-03
Other Names
  • Ignatius Sun Ting Liu
  • Ignatius Liu

View on SEC IAPD

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Other Offices

BRIDGE CAPITAL ADVISORS · HOUSTON, TX
TSA WEALTH MANAGEMENT · HOUSTON, TX
PEREA CAPITAL · HOUSTON, TX
TRI-STAR ADVISORS, INC. · HOUSTON, TX
HORNOR, TOWNSEND & KENT, LLC · Houston, TX
AMERIPRISE FINANCIAL SERVICES, LLC · Houston, TX
LPL FINANCIAL LLC · HOUSTON, TX
MARINER INDEPENDENT · Houston, TX

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