Caiqin Li

Employer firm

Galaxy Wealth Management, LLC CRD 334516

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2015 → 09/2023
  Sagepoint Financial
  Phoenix, AZ
• 12/2015 → Present
  Osaic Wealth, Inc.
  Parkland, FL
• 03/2025 → Present
  Galaxy Wealth Management, Llc
  Parkland, FL
• 01/2016 → Present
  Atlantic Financial Group, Llc
  Parkland, FL

Previous Registrations

• 2015-12-04 → 2023-09-01
  Osaic Services, Inc.
  Parkland, FL
  Scottsdale, AZ
  Parkland, FL
• 2012-08-03 → 2015-12-14
  Equitable Advisors, Llc
  Boca Raton, FL
• 2011-05-02 → 2011-06-28
  Equitable Advisors, Llc
  Weston, FL
  Tampa, FL
  Tampa, FL

Other Businesses

1. GALAXY WEALTH MANAGEMENT, LLC POSITION: Management NATURE: DBA Galaxy Wealth Management, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 05/01/2023 ADDRESS: 9791 Lakeview Ln, Parkland FL 33076 DESCRIPTION: DBA Galaxy Wealth Management, LLC 2. ATLANTIC FINANCIAL GROUP, LLC POSITION: President NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 02/18/2016 ADDRESS: 9791 Lakeview Ln, Parkland FL 33076 DESCRIPTION: Selling fixed Annuities, Fixed Life and Health Insurance and do some real estate marketing and administration work for my husband's real estate businesses. 3. CASEC POSITION: Board. Member NATURE: Help CASEC organize the Chinese Culture events INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/16/2025 ADDRESS: 621 NW 53rd St, Boca Raton FL 33487 DESCRIPTION: Help CASEC run Chinese culture events, marketing and raising funding and learning Chinese culture in education, dancing, disability and help lower income and nature disasters etc. 4. AMERICAN LEARNING SYSTEMS, INC POSITION: Hosting students within our family NATURE: Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 06/10/2025 ADDRESS: 12200 West Broward Boulevard, Plantation FL 33325, United States DESCRIPTION: Supervision of the international student, providing room/amenities accommodations, food, transportation, first day of school transition/registration activities etc. 5. FLORIDA OVERSEAS CHINESE ASSOCIATION (HJZ), INC POSITION: VP NATURE: Not for Profit Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/10/2025 ADDRESS: 13084 NW 13 St, Pembroke Pines FL 33028, United States DESCRIPTION: Assistant the president to do the Chinese Related culture events. 6.GALAXY EDUCATIONAL INSTITUTE POSITION: Partner NATURE: Corporation ( None Profit, 501k (c) (3) INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 08/30/2025 ADDRESS: 9791 Lakeview Ln, Parkland FL 33076, United States DESCRIPTION: Empowering lives, through experiential events that building thriving our Asian American communities, building long term relationship to engage with our Asian Communities: Those experiential events such as Educational Events, such as Financial educational events with a focus on financial literacy, Asian community sport events such as tennis, pickleball, volleyball and dance performance , Asian Community celebration events, such as Moon festive, Chinese New Year and Asian Heritage month celebrations enriching our Asian community culture : Health science related seminars and education related activities and will bring opportunities for students to engage communities service hours in Higher schools and Universities study and careers etc. This OBA will not do any securities related Businesses and any events will not fully or partially sponsored by any product sponsor. I will not specially target my existing clients, but those clients could attend those events if they are interested in attending those events if they are interested in attending them. 7. SOUTH FLORIDA CHINESE BUSINESS ASSOCIATION POSITION: Vice President NATURE: Inc INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/28/2026 ADDRESS: 7440 NW 52 St, Miami FL 33166, United States DESCRIPTION: Help promoter local Chinese business owners, organizations events such as Chinese New Year Celebration and Moon Festival events, seminars, membership, VIP Receipts, fundraising, ads, sell event tickets etc. 8. GRACE FINANCIAL CONSULTING INC POSITION: Tax planner NATURE: S Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 06/05/2026 ADDRESS: 511 S Olive Ave, West Palm Beach FL 33401, United States DESCRIPTION: communication with the clients, collect tax documents, analyze tax planning strategies for the client

Exams

• S66 Uniform Combined State Law Examination
  2011-04-28

Other Names

• Lily Li