Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan Li is a financial advisor with over 20 years of experience in the industry. Alan is currently registered with Eagle Strategies LLC, where Alan has worked since January 2011. Prior to that, Alan worked for several firms, including Citigroup Global Markets Inc., MetLife Securities Inc., and HSBC Securities (USA) Inc. Alan holds a variety of licenses and certifications, including Series 6, 7, 9, 10, 24, 53, 63, 65, and 66. Alan also holds a SIE license. Alan specializes in providing financial planning, educational seminars, portfolio management for individuals, and selection of other advisors. Alan works with a variety of client types, including individuals, high-net-worth individuals, corporations, and charitable organizations.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
NY
08/03/2021 - Present
Eagle Strategies LLC (REGO PARK NY)
NY
03/08/2010 - 06/02/2010
CITIGROUP GLOBAL MARKETS INC. (BAYSIDE NY)
NY
04/05/2005 - 05/28/2009
METLIFE SECURITIES INC. (FLUSHING NY)
NY
04/05/2005 - 07/09/2007
METROPOLITAN LIFE INSURANCE COMPANY (FLUSHING NY)
NY
01/01/2005 - 03/23/2005
HSBC SECURITIES (USA) INC. (NEW YORK CITY NY)
NY
06/09/2004 - 01/01/2005
HSBC BROKERAGE (USA) INC. (NEW YORK NY)
MA
12/21/2001 - 06/07/2004
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
12/21/2001 - 06/07/2004
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
BOTH
Issued 2/1/2005
Series 66 - Uniform Combined State Law Examination
IA
Issued 3/20/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 1/13/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/26/2013
Series 53 - Municipal Securities Principal Examination
BC
Issued 12/30/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/20/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 9/14/2004
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/17/2003
Series 7 - General Securities Representative Examination
BC
Issued 12/20/2001
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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