Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shuo? Claim Your ProfileShuo Li is a financial advisor with over 7 years of experience in the financial services industry. Shuo is registered with LPL Enterprise, LLC and is a Certified Financial Planner. Shuo holds the Series 7, 9, 10, 63, and 66 licenses and the SIE exam. Previously, Shuo was a financial advisor with Charles Schwab & Co., Inc. Shuo is committed to providing personalized financial planning and investment management services to individuals and businesses.
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.
Seminars designed to boost your financial literacy and investment knowledge.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
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.
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2
MD
11/14/2024 - Present
LPL Enterprise, LLC (COCKEYSVILLE MD)
MD
09/05/2019 - 07/03/2023
CHARLES SCHWAB & CO., INC. (Bethesda MD)
IN
07/07/2016 - 09/05/2019
CHARLES SCHWAB & CO., INC. (Indianapolis IN)
BOTH
Issued 06/02/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/12/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/09/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/15/2017
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/07/2016
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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