Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Li is a financial advisor with over 30 years of experience in the industry. David is currently registered with Wells Fargo Clearing Services, LLC, and is licensed to provide investment advice in several states. Before joining Wells Fargo Clearing Services, LLC, David worked at Morgan Stanley and Merrill Lynch, Pierce, Fenner & Smith Incorporated. David holds a Series 7, Series 6, Series 63 and Series 65 license and has a deep understanding of the financial markets. David is committed to providing personalized financial advice and helping clients reach their financial goals.
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.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MA
03/15/2024 - Present
Wells Fargo Clearing Services, LLC (WORCESTER MA)
MA
07/05/2013 - 03/26/2024
MORGAN STANLEY (Westborough MA)
MA
10/23/2009 - 07/08/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WESTBOROUGH MA)
MA
10/20/2004 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (WESTBOROUGH MA)
NY
09/25/2000 - 10/20/2004
QUICK & REILLY, INC. (NEW YORK NY)
MA
01/02/1996 - 09/25/2000
FIS SECURITIES, INC. (BOSTON MA)
IN
02/01/1995 - 12/31/1995
MDS SECURITIES INCORPORATED (CARMEL IN)
MA
01/07/1992 - 01/30/1995
JOHN HANCOCK DISTRIBUTORS, INC. (BOSTON MA)
MA
01/07/1992 - 01/30/1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (BOSTON MA)
IA
Issued 07/15/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/21/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/27/1997
Series 7 - General Securities Representative Examination
BC
Issued 01/06/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure David Li is the right advisor for you? Invested Better is here to help.
