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Christopher Wong Li

Scotia Capital (usa) Inc.

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About Christopher Wong Li

Christopher Wong Li is a financial advisor at Scotia Capital (usa) Inc. based in New York, NY. Christopher has been in the industry since 1997. Christopher has a strong background in the financial services industry and has held positions with leading firms such as Barclays Capital Inc., Lehman Brothers Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Christopher is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 7, Series 63, Series 99TO, and SIE licenses.

Firm Information

Christopher Li is currently registered with Scotia Capital (usa) Inc.. Scotia Capital (usa) Inc. is a corporation formed in 1939 and headquartered in the United States. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia and Puerto Rico.

Not reported

Assets Under Management

Not reported

Total Clients

108

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Christopher Li’s Registration & Firm History

NY

05/08/2013 - Present

Scotia Capital (usa) Inc. (NEW YORK NY)

NY

09/22/2008 - 02/26/2013

BARCLAYS CAPITAL INC. (NEW YORK NY)

NY

08/05/2004 - 09/22/2008

LEHMAN BROTHERS INC. (NEW YORK NY)

NY

07/09/2003 - 08/10/2004

CIBC WORLD MARKETS CORP. (NEW YORK NY)

NY

05/09/2000 - 05/14/2003

CIBC TRADING (DELAWARE CORP.) (NEW YORK NY)

NY

11/16/1998 - 11/22/2000

BARCLAY INVESTMENTS, INC. (NEW YORK NY)

NY

04/08/1997 - 10/22/1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 05/16/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/25/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Christopher Wong Li.
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