Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ivory? Claim Your ProfileIvory R. Li is a financial professional with over 20 years of experience in the industry. Ivory is currently registered with Piper Sandler & Co. and has been with the firm since 2008. Previously, Ivory held positions at UBS Securities LLC and UBS Financial Services Inc. Ivory has held licenses with both FINRA and the state of California. Ivory has earned the Series 63, Series 52 and the SIE exams.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Analytical reports/public finance consulting program
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.
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2
CA
06/11/2008 - Present
Piper Sandler & Co. (SAN FRANCISCO CA)
CA
01/16/2006 - 07/01/2008
UBS SECURITIES LLC (SAN FRANCISCO CA)
NJ
03/27/2003 - 01/16/2006
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
04/23/2002 - 03/18/2003
SALOMON SMITH BARNEY INC. (NEW YORK NY)
BC
Issued 07/14/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/22/2002
Series 52 - Municipal Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
New York Stock Exchange
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