Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Vincent? Claim Your ProfileVincent Li is a financial advisor with over 20 years of experience in the industry. Vincent is currently registered with J.P. Morgan Securities LLC and holds licenses in Series 4, 7, 9, 63, SIE, and 99TO. Vincent has previously worked at several other firms including J.P. Morgan Clearing Corp., J.P. Morgan Securities Inc., TD Waterhouse Investor Services, Inc., and Dean Witter Reynolds Inc. Vincent has experience providing financial advice to individuals, corporations, and other entities, including high-net-worth individuals, charitable organizations, pension and profit-sharing plans, and insurance 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.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
NJ
10/01/2016 - Present
J.p. Morgan Securities LLC (Jersey City NJ)
NY
06/06/2007 - 10/01/2016
J.P. MORGAN CLEARING CORP. (BROOKLYN NY)
NY
06/06/2007 - 12/31/2008
J.P.MORGAN SECURITIES INC. (BROOKLYN NY)
NJ
11/16/2000 - 03/30/2006
TD WATERHOUSE INVESTOR SERVICES, INC. (JERSEY CITY NJ)
NY
12/13/1999 - 12/01/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BC
Issued 01/08/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/01/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/16/2005
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/11/1999
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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