LINDA LIU is currently employed as a Broker and/or Investment Adviser at CETERA INVESTMENT SERVICES LLC located at 77 BOWERY, NEW YORK, NY, 10002.

LINDA LIU has worked at CETERA INVESTMENT SERVICES LLC since March 26, 2013

Disclosure History

LINDA LIU has 1 Disclosure Event(s).

Date: August 04, 2016
Category: Customer Dispute
Allegations: Client is alleging the RR told her the investment had a 4-year term with a fixed interest rate.
Damage Amount Requested: $5,460.00

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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