Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Xiaoyan? Claim Your ProfileXiaoyan Li is a financial professional with over 18 years of experience in the securities industry. Li is currently registered with T3 Trading Group, LLC and has been in the securities industry since 2004. Li holds several licenses and designations including Series 7, Series 24, Series 27, Series 57TO, and Series 99TO. Li has worked for several firms including OPEN TO THE PUBLIC INVESTING, INC., CLEARPOOL EXECUTION SERVICES, LLC and WORLD-XECUTION STRATEGIES. Li is registered in Florida.
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.
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.
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2
NJ
08/20/2015 - Present
T3 Trading Group, LLC (Millburn NJ)
NY
09/30/2015 - 05/28/2021
OPEN TO THE PUBLIC INVESTING, INC. (New York NY)
NY
04/08/2014 - 05/08/2015
CLEARPOOL EXECUTION SERVICES, LLC (New York NY)
NY
11/21/2012 - 05/08/2015
WORLD-XECUTION STRATEGIES (NEW YORK NY)
NY
11/22/2012 - 02/02/2015
WTS PROPRIETARY TRADING GROUP LLC (NEW YORK NY)
NY
07/18/2007 - 11/13/2012
MEDIOBANCA SECURITIES USA LLC (NEW YORK NY)
NY
10/01/2010 - 11/09/2012
FONDSFINANS INC. (NEW YORK NY)
CA
02/23/2009 - 11/09/2012
MIRAE ASSET SECURITIES (USA) INC. (LOS ANGELES CA)
NY
07/10/2007 - 11/09/2012
MACALLASTER PITFIELD MACKAY INC. (NEW YORK NY)
NY
06/04/2007 - 11/09/2012
JFD SECURITIES, INC. (NEW YORK NY)
NY
02/15/2007 - 11/09/2012
DAVIS SECURITIES LLC (NEW YORK NY)
MA
10/06/2006 - 11/09/2012
ROSEVIEW SECURITIES, LLC (BOSTON MA)
SC
09/27/2006 - 11/09/2012
ANCHOR ASSET MANAGEMENT LLC (ISLE OF PALMS SC)
GA
09/27/2006 - 11/09/2012
G.F. INVESTMENT SERVICES, LLC (MCDONOUGH GA)
NY
09/27/2006 - 11/09/2012
PANAMERICAN CAPITAL SECURITIES LLC (NEW YORK NY)
MA
09/27/2006 - 11/09/2012
PROMETHEAN CAPITAL GROUP LLC (AQUINNAH MA)
NY
08/10/2007 - 11/07/2012
CANACCORD GENUITY SECURITIES LLC (NEW YORK NY)
NY
12/20/2011 - 09/17/2012
UNITED FIRST PARTNERS LLC (NEW YORK NY)
CA
10/05/2006 - 07/03/2012
KBR CAPITAL MARKETS, LLC (PALO ALTO CA)
NY
10/03/2006 - 05/29/2012
DIMENSION SECURITIES, LLC (NEW YORK NY)
NY
01/19/2012 - 03/28/2012
DIMENSION TRADING GROUP, LLC (NEW YORK NY)
NY
01/08/2009 - 01/10/2012
DIMENSION TRADING GROUP, LLC (NEW YORK NY)
NY
06/16/2010 - 03/04/2011
GROUPARGENT SECURITIES, LLC (NEW YORK NY)
NY
04/22/2010 - 05/25/2010
SUNRISE BROKERS LLC (NEW YORK NY)
NY
09/27/2006 - 04/29/2010
ALTEA CAPITAL, LLC (NEW YORK NY)
NY
06/19/2009 - 03/18/2010
CAPSTONE GLOBAL MARKETS, LLC (NEW YORK NY)
TX
02/28/2007 - 03/10/2010
VALORES FINAMEX INTERNATIONAL, INC. (MAGNOLIA TX)
NY
02/26/2008 - 01/04/2010
HEDGE FUND CAPITAL PARTNERS, LLC (BROOKLYN NY)
NY
09/27/2006 - 04/14/2009
MILBANK ROY SECURITIES, LLC (NEW YORK NY)
FL
11/21/2008 - 02/12/2009
WALLACHBETH CAPITAL LLC (BOCA RATON FL)
NY
01/12/2009 - 02/03/2009
MG SECURITIES LLC (NEW YORK NY)
NA
09/27/2006 - 12/31/2008
EDEN FINANCIAL (USA) LIMITED (LONDON )
NY
09/27/2006 - 11/17/2008
AIA CAPITAL MARKETS LLC (NEW YORK NY)
NY
09/27/2006 - 05/02/2008
HRH SECURITIES, LLC (NEW YORK NY)
NY
01/09/2007 - 04/21/2008
ALARIS TRADING PARTNERS, LLC (GARDEN CITY NY)
NY
10/20/2006 - 04/09/2008
UNIBANCO SECURITIES INC. (NEW YORK NY)
NY
02/26/2007 - 03/11/2008
WEISS INVESTMENT MANAGEMENT SERVICES, LLC (NEW YORK NY)
NY
09/27/2006 - 12/19/2007
SG REAL ESTATE SECURITIES LLC (NEW YORK NY)
NJ
09/27/2006 - 11/01/2007
STEPHEN L. SCHECHTER & CO. INC. (MARLTON NJ)
NY
06/19/2007 - 10/11/2007
GLOBEOP MARKETS LIMITED (NEW YORK NY)
NY
09/27/2006 - 08/10/2007
COLLINS STEWART INC. (NEW YORK NY)
CA
03/18/2004 - 03/09/2005
DAVID ADAMS CAPITAL MARKETS LLC (PALO ALTO CA)
NY
01/12/2004 - 03/09/2005
METCAP SECURITIES, LLC (NEW YORK CITY NY)
NY
07/09/2003 - 03/09/2005
WILLIS SECURITIES, INC. (NEW YORK NY)
NY
06/25/2003 - 03/09/2005
CREDITTRADE SECURITIES CORPORATION (NEW YORK NY)
NY
06/16/2003 - 03/09/2005
HUDSON HOUSING SECURITIES LLC (NEW YORK NY)
NY
04/14/2003 - 03/09/2005
PROVIDENCE CAPITAL, INC. (NEW YORK NY)
NY
03/05/2003 - 03/09/2005
BENFIELD ADVISORY INC. (NEW YORK NY)
NY
04/22/2002 - 03/09/2005
CREDITEX, INC. (NEW YORK NY)
NY
03/18/2002 - 03/09/2005
ARAPAHO PARTNERS, LLC (NEW YORK NY)
NY
11/04/2004 - 03/08/2005
SEIDMAN PRIVATE SECURITIES LLC (NEW YORK NY)
NY
07/28/2004 - 03/08/2005
TRIBECA SECURITIES LLC (NEW YORK NY)
NY
10/02/2003 - 11/22/2004
GERBER, KELLY & CO. L.L.C. (NEW YORK NY)
NA
03/25/2004 - 08/09/2004
THREE CROWNS CAPITAL (BERMUDA) LIMITED (HAMILTON )
NY
02/02/2004 - 05/03/2004
MAX CAPITAL SECURITIES LLC (NEW YORK NY)
CT
10/16/2002 - 05/03/2004
ALLEN GLOBAL SECURITIES LLC (GREENWICH CT)
NY
08/01/2003 - 03/17/2004
VERICAP ADVISORS (US), LLC (NEW YORK NY)
BC
Issued 06/30/2004
Series 24 - General Securities Principal Examination
BC
Issued 11/29/2001
Series 27 - Financial and Operations Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/29/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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