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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shu yi? Claim Your ProfileShu yi Li is a financial advisor who has been in the industry since January 18, 2022. Li is registered with the state of Texas and Utah, and is currently employed with Morgan Stanley. Li has a Series 7TO, Series 66 and SIE license and has been registered with a total of 57 states. Li is registered with FINRA and is active in both the broker-dealer and investment advisor capacity. Li provides asset allocation advice, financial planning, pension consulting and educational seminars for both individuals and businesses. Li has worked with a wide range of clients including high net worth individuals, insurance companies, investment companies, charitable organizations, banking or thrift institutions, pension and profit-sharing plans, corporations or other businesses, state or municipal government entities and individuals other than high net worth. Li is a specialist in portfolio management for individuals, businesses and investment companies.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
UT
08/08/2022 - Present
Morgan Stanley (Sandy UT)
BOTH
Issued 08/06/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/19/2022
Series 7TO - General Securities Representative Examination
BC
Issued 10/18/2021
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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