Anthony Dai Ching Liu

CRD 4646561 · Charles Schwab & Co., Inc. · Campbell, CA

IA RegisteredBroker

Also appears in the source record as: Anthony Dai Ching Liu N/A

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): SIESeries 31Series 7Series 10Series 9Series 66
Registered states (27): Arizona · California · Colorado · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Maryland · Massachusetts · Michigan · Missouri · Nevada · New Jersey · New Mexico · New York · North Carolina · Ohio · Oregon · Pennsylvania · South Carolina · Texas · Utah · Washington · Wisconsin
Years in the industry (source record): 22
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Charles Schwab & Co., Inc.
Firm CRD: 5393
SEC number: 801-29938
Assets under management: Not yet retrieved from the source record
Website: www.linkedin.com/COMPANY/SCHWAB-ADVISOR-SERVICES ↗
Phone: 415-667-7000
Firm location: San Francisco, CA, 94105

Employment history (14)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Campbell, CA · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Campbell, CA · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Campbell, CA · IA capacity

start not retrieved → present
Td Ameritrade, Inc.
Campbell, CA · BC capacity

Feb 8, 2022 → May 19, 2024
Td Ameritrade, Inc.
Campbell, CA · IA capacity

Feb 8, 2022 → Oct 14, 2022
Td Ameritrade Investment Management, LLC
Cupertino, CA · IA capacity

Nov 4, 2016 → Jul 6, 2021
Strategic Advisers, Inc.
Monterey, CA · IA capacity

Apr 8, 2005 → Oct 26, 2016
Fidelity Brokerage Services LLC
Monterey, CA · BC capacity

Mar 22, 2005 → Oct 20, 2016
Fidelity Brokerage Services, LLC
Monterey, CA · IA capacity

Mar 22, 2005 → Apr 4, 2005
Morgan Stanley
Hayward, CA · IA capacity

Oct 7, 2003 → Feb 9, 2005
Morgan Stanley Dw Inc.
Purchase, NY · BC capacity

Oct 7, 2003 → Feb 9, 2005
American Express Financial Advisors, Inc.
Walnut Creek, CA · IA capacity

Jun 2, 2003 → Aug 11, 2003
Ids Life Insurance Company
Minneapolis, MN · BC capacity

May 20, 2003 → Aug 11, 2003
American Express Financial Advisors Inc.
Minneapolis, MN · BC capacity

May 20, 2003 → Aug 11, 2003

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 4646561 ↗ FINRA BrokerCheck record for CRD 4646561 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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