Liza Dela Cruz has been Chief Compliance Officer of Alliance Advisory & Securities since March 2025, is a control person of the firm and directly owns under 5% of it.
Alliance Advisory & Securities, LLC is a Westlake Village, CA firm with $687M under management, 675 clients and 14 advisers across 5 offices, as of its September 2026 filing.
- – present · 1 yearWestlake Village, CA · Adviser representative · Firm CRD 18835
Investment adviser representative registrations
Liza Dela Cruz is registered as an investment adviser representative in California, since March 2025.
- CaliforniaSince 4 March 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 3 March 2025 |
| Series 66 | Uniform Combined State Law Examination | 5 April 2008 |
| Series 24 | General Securities Principal Examination | 19 December 2005 |
| Series 7 | General Securities Representative Examination | 21 September 2005 |
| Series 63 | Uniform Securities Agent State Law Examination | 14 January 2004 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 1 June 2001 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Liza Marie Dela Cruz
- CRD
- 4109501
- Firm
- Alliance Advisory & Securities · CRD 18835
- Role
- Chief Compliance Officer
- Office
- 31248 E. OAK CREST DRIVE STE 100, Westlake Village, CA 91361
- Registration
- Investment adviser registration
- In the industry since
- March 2025
- Disciplinary history
- Not yet shown here · SEC record
Where does Liza Dela Cruz work?
Liza Dela Cruz has been Chief Compliance Officer of Alliance Advisory & Securities, LLC since March 2025, and is a control person of the firm.
Is Liza Dela Cruz a financial advisor?
Yes. Liza Dela Cruz has a current investment-adviser registration in California, through Alliance Advisory & Securities since March 2025.
How many years of experience does Liza Dela Cruz have?
Liza Dela Cruz has 1 year in the financial industry, since March 2025, across 1 adviser firm.
What exams has Liza Dela Cruz passed?
Liza Dela Cruz has passed 6 licensing exams: the Series 6, Series 63, Series 7, Series 24, Series 66 and Series 65. The earliest, the Series 6, was passed in June 2001.
Where is Liza Dela Cruz based?
Liza Dela Cruz’s registered office is in Westlake Village, CA.
Is Liza Dela Cruz registered with FINRA?
No. Liza Dela Cruz has no current broker registration.
How can I verify Liza Dela Cruz’s record?
Search CRD 4109501 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Liza Dela Cruz’s full registration record.
