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Robin David Liu

Ameriprise Financial Services, LLC

Honolulu, HI

Honolulu, HI

CRD 1286306

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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
HI RA APPROVED 2015-10-26
  • HI RA
    APPROVED
    Since 2015-10-26

Branch Locations

1585 Kapiolani Blvd Ste 1100, Honolulu, HI 96814-4523 • United States

Honolulu, HI • 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, Inc. Honolulu HI 03/2015 03/2020
Ameriprise Financial Services, Llc Honolulu HI 03/2020 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-10-24
S65 Uniform Investment Adviser Law Examination 1993-02-06
S63 Uniform Securities Agent State Law Examination 1992-03-07
  • S66 Uniform Combined State Law Examination
    2015-10-24
  • S65 Uniform Investment Adviser Law Examination
    1993-02-06
  • S63 Uniform Securities Agent State Law Examination
    1992-03-07
Other Names
  • O Robin D Liu

View on SEC IAPD

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