Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Li? Claim Your ProfileLi Shao is a financial professional with over 17 years of experience in the financial industry. Li is currently registered with Daiwa Capital Markets America Inc. and is licensed to provide investment advice in Connecticut, District of Columbia, New Jersey, New York, and Virginia. Previously, Li worked at RBS Securities Inc., Daiwa Securities America Inc. and UBS Securities LLC. Li holds the Series 3, 7, and 63 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.
1
2
NY
08/05/2013 - Present
Daiwa Capital Markets America Inc. (NEW YORK NY)
CT
08/18/2009 - 07/16/2013
RBS SECURITIES INC. (STAMFORD CT)
NY
04/01/2009 - 07/09/2009
DAIWA SECURITIES AMERICA INC. (NEW YORK NY)
CT
06/15/2005 - 11/17/2008
UBS SECURITIES LLC (STAMFORD CT)
BC
Issued 07/08/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/05/2012
Series 3 - National Commodity Futures Examination
BC
Issued 06/13/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq Stock Market
N
New York Stock Exchange
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