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Yan Li

Wells Fargo Securities, LLC

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About Yan Li

Yan Li is a financial professional with over 4 years of experience in the industry. Yan is registered with Wells Fargo Securities, LLC and is licensed to conduct securities business in all 50 states. Yan holds the Series 7, Series 63, and Series 57 licenses, demonstrating a broad range of financial knowledge and expertise. Yan is committed to providing personalized financial guidance and investment strategies to help individuals and families achieve their financial goals.

Firm Information

Yan Li is currently registered with Wells Fargo Securities, LLC. Wells Fargo Securities, LLC is a Limited Liability Company formed in March 2003. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

1,325

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Yan Li’s Registration & Firm History

NC

09/09/2020 - Present

Wells Fargo Securities, LLC (CHARLOTTE NC)

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Licenses & Designations

BC

Issued 09/25/2020

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/24/2024

Series 57TO - Securities Trader Exam

BC

Issued 09/09/2020

Series 7TO - General Securities Representative Examination

BC

Issued 07/20/2020

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Yan Li.
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