Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Yi? Claim Your ProfileYi Li is an investment advisor representative, registered with Cetera Investment Advisers LLC. Yi has been in the securities industry since July 13, 2016 and holds the Series 7, Series 31, Series 63, Series 66, and SIE licenses. Yi is a private client advisor for East West Bank and advises clients on banking related services, including deposits, credit, and lending. Yi is registered to provide investment advisory services in California, Connecticut, Florida, Georgia, Illinois, Maryland, Massachusetts, Nevada, New Jersey, New York, Pennsylvania, Texas, and Washington.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
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
NY
01/17/2023 - Present
Cetera Investment Advisers LLC (NEW YORK NY)
NY
01/07/2021 - 10/22/2021
CANAM INVESTOR SERVICES, LLC (NEW YORK NY)
NY
09/21/2018 - 01/14/2021
HSBC SECURITIES (USA) INC. (NEW YORK NY)
NY
04/11/2017 - 09/04/2018
CITI PRIVATE ADVISORY, LLC (New York NY)
NY
12/07/2015 - 09/04/2018
CITIGROUP GLOBAL MARKETS INC. (New York NY)
NY
08/22/2007 - 12/21/2007
NYLIFE SECURITIES LLC (NEW YORK NY)
NY
06/29/2007 - 07/06/2007
ARDOUR CAPITAL INVESTMENTS, LLC (LONG BEACH NY)
BOTH
Issued 8/8/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/31/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 7/14/2017
Series 31 - Futures Managed Funds Examination
BC
Issued 12/7/2015
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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