Emily Liao has been an investment adviser representative at Plum Street Advisors since September 2026, and is not listed among the firm’s executive officers or direct owners.
Plum Street Advisors, LLC is a firm with $463M under management, 183 clients and 5 advisers across 5 offices, as of its June 2026 filing.
Emily Liao is Advisor of Plum Street Advisors. Liao worked in investment banking at Barclays PLC before returning to personal financial planning and investment.
Investment adviser representative registrations
Emily Liao is registered as an investment adviser representative in 4 states. The first approvals date from September 2026; the most recent is Massachusetts, in October 2026.
- CaliforniaSince 24 September 2026
- FloridaSince 1 October 2026
- MassachusettsSince 5 October 2026
- New YorkSince 24 September 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 6 May 2026 |
| Series 7TO | General Securities Representative Examination | 3 May 2019 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 30 August 2018 |
| Series 79 | Investment Banking Registered Representative Examination | 27 August 2018 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Banking Registered Representative Examination
- CRD
- 6812492
- Firm
- Plum Street Advisors · CRD 283917
- Registration
- Investment adviser registration
- In the industry since
- June 2019
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- plumstreetadvisors.com
Where does Emily Liao work?
Emily Liao is an investment adviser representative registered through Plum Street Advisors, LLC since September 2026, and is not listed among the firm’s executive officers or direct owners.
Is Emily Liao a financial advisor?
Yes. Emily Liao has a current investment-adviser registration in California, Florida, Massachusetts and New York, through Plum Street Advisors since September 2026.
How many years of experience does Emily Liao have?
Emily Liao has 7 years in the financial industry, since June 2019, across 1 adviser firm.
What exams has Emily Liao passed?
Emily Liao has passed 4 licensing exams: the Series 79, Series 63, Series 7TO and Series 65. The earliest, the Series 79, was passed in August 2018. FINRA credited Emily Liao with the SIE, which began in October 2018.
Is Emily Liao registered with FINRA?
No. Emily Liao has no current broker registration.
How can I verify Emily Liao’s record?
Search CRD 6812492 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Emily Liao’s full registration record.
