Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Li is a financial advisor registered with Fidelity Personal And Workplace Advisors. James is licensed to provide investment advice in 23 states. James has worked in the financial industry since 2017. James is a registered representative with FINRA and a registered investment advisor. James has worked for several firms including Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and UnionBanc Investment Services, LLC. James holds several professional licenses and certifications, including Series 6, Series 7, Series 63, and Series 66. James specializes in providing financial planning, investment management, and retirement planning services.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
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.
A percentage of the total value of assets under management is charged.
1
2
CA
04/21/2023 - Present
Fidelity Personal AND Workplace Advisors (MOUNTAIN VIEW CA)
CA
03/09/2022 - 06/10/2022
CITIGROUP GLOBAL MARKETS INC. (SAN FRANCISCO CA)
CA
12/13/2018 - 02/07/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (DUBLIN CA)
CA
02/21/2017 - 11/15/2018
UNIONBANC INVESTMENT SERVICES, LLC (PLEASANTON CA)
BOTH
Issued 02/13/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/20/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/11/2019
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/21/2017
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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