Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shuiwah? Claim Your ProfileShuiwah Stella Li has been in the financial industry since November 12, 1997. Shuiwah Stella Li is currently registered with HSBC Securities (USA) Inc. in California and New York, offering investment advice. Shuiwah Stella Li also holds licenses to conduct business in other states including California, Connecticut, New Jersey, New York, Ohio, and Pennsylvania. Previously, Shuiwah Stella Li was registered with HSBC Brokerage (USA) Inc. in New York, which Shuiwah Stella Li left in January 2005. Shuiwah Stella Li has a combined total of 14 approved SRO registrations, 1 approved FINRA registration, 6 approved state registrations and 2 approved IA state registrations. Shuiwah Stella Li has experience working with high-net-worth individuals, pension and profit-sharing plans, corporations or other businesses, and individuals other than high-net-worth.
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.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval
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.
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.
1
2
CA
07/26/2023 - Present
Hsbc Securities (usa) Inc. (Arcadia CA)
NY
11/13/1997 - 01/01/2005
HSBC BROKERAGE (USA) INC. (NEW YORK NY)
BOTH
Issued 07/26/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/04/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/26/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/06/2003
Series 4 - Registered Options Principal Examination
BC
Issued 12/17/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/03/1999
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/13/2006
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 08/12/1998
Series 7 - General Securities Representative Examination
BC
Issued 11/12/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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