Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Doris? Claim Your ProfileDoris Yuan Li is a registered representative with DFA Securities LLC, a FINRA-registered firm. Doris has been in the securities industry since May 16, 2006. She holds the Series 7 and SIE licenses. DFA Securities LLC is based in CHARLOTTE, NC.
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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2
NC
05/16/2006 - Present
DFA Securities LLC (CHARLOTTE NC)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/15/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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