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Ka yi Li

Sentry Equity Services, Inc.

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About Ka yi Li

Ka yi Li is a financial professional with over a decade of experience in the industry. Ka yi is currently registered with Sentry Equity Services, Inc. in Stevens Point, Wisconsin and is also a registered representative of FINRA. Previously, Ka yi has held positions at several firms including TIAA-CREF Individual & Institutional Services, LLC, Transamerica Investors Securities Corporation, Hewitt Financial Services LLC, and ING Investment Advisors, LLC. Ka yi holds several professional licenses including Series 7, 63, 66, and 24.

Firm Information

Ka yi Li is currently registered with Sentry Equity Services, Inc.. Sentry Equity Services, Inc. is a corporation formed in May 1969, registered in all 50 states and the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

32

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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Ka yi Li’s Registration & Firm History

WI

12/16/2020 - Present

Sentry Equity Services, Inc. (STEVENS POINT WI)

CA

06/26/2018 - 10/10/2019

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (OAKLAND CA)

NY

06/01/2016 - 06/20/2018

TRANSAMERICA INVESTORS SECURITIES CORPORATION (HARRISON NY)

CA

11/15/2012 - 05/09/2016

HEWITT FINANCIAL SERVICES LLC (SACRAMENTO CA)

CA

10/08/2007 - 06/01/2012

ING INVESTMENT ADVISORS, LLC (PLEASANTON CA)

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Licenses & Designations

BOTH

Issued 11/24/2012

Series 66 - Uniform Combined State Law Examination

BC

Issued 08/15/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/31/2008

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/05/2007

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Ka yi Li.
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