Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lily? Claim Your ProfileLily Li has been in the financial services industry since 1996. Lily currently works for Wells Fargo Clearing Services, LLC and has also worked for firms such as Citigroup Global Markets Inc., FMN Capital Corporation, and Morgan Stanley DW Inc. Lily is registered with FINRA and holds the Series 7, Series 63, Series 65, and SIE exams. Lily has a diverse client base that includes high-net-worth individuals, corporations, pension and profit-sharing plans, and charitable organizations.
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.
Guidance on pension options to ensure a secure financial future.
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.
Investment consulting services to institutional clients
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
01/18/2017 - Present
Wells Fargo Clearing Services, LLC (ALHAMBRA CA)
CA
03/22/2010 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (PASADENA CA)
CA
05/29/2007 - 04/15/2010
CITIGROUP GLOBAL MARKETS INC. (ARCADIA CA)
CA
10/27/2004 - 05/29/2007
CITICORP INVESTMENT SERVICES (ARCADIA CA)
CA
01/15/2003 - 10/15/2004
FMN CAPITAL CORPORATION (MISSION VIEJO CA)
NY
09/27/1999 - 11/26/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
CA
05/04/1998 - 10/18/1999
ACE DIVERSIFIED CAPITAL, INC. (SAN GABRIEL, CA)
NA
01/04/1996 - 05/12/1998
CAPITAL WORLD SECURITIES CORP
IA
Issued 05/15/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/31/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/02/1996
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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