Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathy? Claim Your ProfileKathy Li is a registered representative with Cetera Investment Services LLC. Kathy is licensed to sell securities in California. Kathy has been in the securities industry since September 6, 2009 and holds the Series 6, Series 63 and SIE licenses. Kathy's previous employer was HSBC Securities (USA) Inc.
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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CA
10/27/2018 - Present
Cetera Investment Services LLC (TORRANCE CA)
CA
07/30/2009 - 09/18/2018
HSBC SECURITIES (USA) INC. (TORRANCE CA)
BC
Issued 09/01/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/18/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/29/2009
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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