Wange Liu has been an investment adviser representative at Prospect Financial Services since April 2026, and is not listed among the firm’s executive officers or direct owners.
Prospect Financial Services LLC is a Melville, NY firm with $431M under management, 613 clients and 9 advisers in one office, as of its March 2026 filing.
- – present · under a yearMelville, NY · Adviser representative · Firm CRD 314154
Investment adviser representative registrations
Wange Liu is registered as an investment adviser representative in New York, since April 2026.
- New YorkSince 23 April 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 3 June 2025 |
| Series 63 | Uniform Securities Agent State Law Examination | 7 April 2022 |
| Series 7TO | General Securities Representative Examination | 9 July 2021 |
| SIE | Securities Industry Essentials Examination | 22 September 2019 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- CRD
- 7316117
- Firm
- Prospect Financial Services · CRD 314154
- Office
- 445 BROAD HOLLOW ROAD, SUITE CL-43, Melville, NY 11747
- Registration
- Investment adviser and broker registrations
- In the industry since
- May 2023
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Wange Liu work?
Wange Liu is an investment adviser representative registered through Prospect Financial Services LLC since April 2026, and is not listed among the firm’s executive officers or direct owners.
Is Wange Liu a financial advisor?
Yes. Wange Liu has a current investment-adviser registration in New York, through Prospect Financial Services since April 2026.
How many years of experience does Wange Liu have?
Wange Liu has 3 years in the financial industry, since May 2023, across 1 adviser firm.
What exams has Wange Liu passed?
Wange Liu has passed 4 licensing exams: the SIE, Series 7TO, Series 63 and Series 65. The earliest, the SIE, was passed in September 2019.
Where is Wange Liu based?
Wange Liu’s registered office is in Melville, NY.
Is Wange Liu registered with FINRA?
Yes. Wange Liu has a current broker registration, under CRD 7316117.
Source: FINRA BrokerCheck
How can I verify Wange Liu’s record?
Search CRD 7316117 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Wange Liu’s full registration record.
