Inactive

James Liu

Holden Wealth Management LLC

Los Angeles, CA

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Current Employers

Holden Wealth Management Llc

Los Angeles, CA • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2025-10-20

CA RA
APPROVED

Since 2025-10-20

Branch Locations

Los Angeles, CA • United States

Disclosures

1 disclosure category 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 No
Termination Yes

Employment History

Organization	City	State	From	To
Holden Investment Management Llc	Los Angeles	CA	02/2012	Present

02/2012 → Present

Holden Investment Management Llc

Los Angeles, CA

Previous Registrations

2012-03-13 → 2018-12-31

Holden Wealth Management Llc

Los Angeles, CA
2010-10-01 → 2012-03-08

Ubs Financial Services Inc.

Los Angeles, CA
2010-01-06 → 2010-10-20

Merrill Lynch, Pierce, Fenner & Smith Incorporated

El Segundo, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2009-12-31

S66 Uniform Combined State Law Examination

2009-12-31

Other Names

James Yiming Liu

View on SEC IAPD

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