Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Phillip? Claim Your ProfilePhillip Kwongshing Li is a registered representative with Northwestern Mutual Investment Services, LLC and has been in the industry since December 20, 2021. Phillip has a Series 63, Series 6TO and SIE license. He is registered in Arizona, California, Connecticut, Delaware, Florida, Georgia, Illinois, Maryland, Massachusetts, New Hampshire, New Jersey, New York, North Carolina, Pennsylvania, Rhode Island, Texas, Utah, Vermont, Virginia, Washington and Wisconsin.
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.
Investment research; referrals to other advisers
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.
Referral fees
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2
NY
12/21/2021 - Present
Northwestern Mutual Investment Services, LLC (Albany NY)
BC
Issued 01/14/2022
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/21/2021
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/29/2021
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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