Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Pak-wai Li is a registered investment advisor who has been in the industry since 2008. Brian is currently registered with Cetera Investment Services LLC. Brian has previously held positions at HSBC Securities (USA) Inc., Citigroup Global Markets Inc., CitiCorp Investment Services, Essex National Securities, Inc. and Gateway Investment Services, Inc. Brian has a Series 6, Series 63, and SIE license.
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.
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CA
01/01/2023 - Present
Cetera Investment Services LLC (SAN GABRIEL CA)
CA
06/12/2017 - 02/09/2022
HSBC SECURITIES (USA) INC. (Temple City CA)
CA
11/23/2010 - 04/28/2011
HSBC SECURITIES (USA) INC. (TEMPLE CITY CA)
CA
05/29/2007 - 06/17/2010
CITIGROUP GLOBAL MARKETS INC. (ALHAMBRA CA)
CA
06/14/2004 - 05/29/2007
CITICORP INVESTMENT SERVICES (MONTEREY PARK CA)
CA
09/15/2003 - 02/27/2004
ESSEX NATIONAL SECURITIES, INC. (NAPA CA)
IL
09/10/2003 - 09/15/2003
GATEWAY INVESTMENT SERVICES, INC. (OAK PARK IL)
NY
03/15/2000 - 08/04/2003
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
BC
Issued 08/31/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/12/2017
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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