Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alex? Claim Your ProfileAlex Li is a financial professional with over 20 years of experience in the financial services industry. Alex Li is currently registered with Credit Agricole Securities (usa) Inc. and is a Series 3, 7, and SIE licensed professional. Alex Li has previously held positions at Deutsche Bank Securities Inc., Credit Suisse Securities (USA) LLC, Salomon Smith Barney Inc., and Salomon Brothers Inc. Alex Li holds a Series 63 license and is registered in New York.
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.
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.
1
2
NY
06/15/2017 - Present
Credit Agricole Securities (usa) Inc. (NEW YORK NY)
NY
06/01/2010 - 06/19/2017
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NY
07/25/2000 - 06/09/2010
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
NY
09/01/1998 - 07/24/2000
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
07/23/1996 - 09/01/1998
SALOMON BROTHERS INC. (NEW YORK NY)
BC
Issued 10/14/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/01/2010
Series 3 - National Commodity Futures Examination
BC
Issued 07/22/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
New York Stock Exchange
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