Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lei? Claim Your ProfileLei Li is a financial professional with over 28 years of experience in the securities industry. Li is currently registered with Empire Investment Inc. in Flushing, NY. Li holds Series 3, 4, 7, 24, 63, 99TO and SIE licenses.
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
NY
11/28/1994 - Present
Empire Investment Inc. (FLUSHING NY)
NY
05/26/1992 - 10/07/1992
LADENBURG, THALMANN & CO., INC. (NEW YORK NY)
OR
03/11/1992 - 05/28/1992
PAULSON INVESTMENT COMPANY, INC. (PORTLAND OR)
BC
Issued 03/12/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/27/1995
Series 24 - General Securities Principal Examination
BC
Issued 12/07/1995
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/16/1996
Series 3 - National Commodity Futures Examination
BC
Issued 03/10/1992
Series 7 - General Securities Representative Examination
Active
Inactive
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