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Yiqun Li

Morgan Stanley

Pasadena, CA

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-01-09
TX RA APPROVED_RES 2024-01-09
  • CA RA
    APPROVED
    Since 2024-01-09
  • TX RA
    APPROVED_RES
    Since 2024-01-09

Branch Locations

55 South Lake Avenue Pasadena Towers - Tower Ii Suite 700, Pasadena, CA 91101 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Uc Santa Barbara Santa Barbara CA 09/2015 07/2019
Unemployed Arcadia CA 08/2019 01/2020
Mutual Of Omaha Investor Services Los Angeles CA 03/2020 09/2020
Mutual Of Omaha Insurance Company Los Angeles CA 03/2020 09/2020
First Republic Securities Company, Llc Los Angeles CA 01/2021 09/2023
First Republic Investment Management Inc Los Angeles CA 02/2021 09/2023
Unemployed Arcadia CA 10/2020 01/2021
J.P. Morgan Securities Llc Los Angeles CA 09/2023 12/2023
Morgan Stanley Pasadena CA 01/2024 Present
  • 09/2015 → 07/2019
    Uc Santa Barbara
    Santa Barbara, CA
  • 08/2019 → 01/2020
    Unemployed
    Arcadia, CA
  • 03/2020 → 09/2020
    Mutual Of Omaha Investor Services
    Los Angeles, CA
  • 03/2020 → 09/2020
    Mutual Of Omaha Insurance Company
    Los Angeles, CA
  • 01/2021 → 09/2023
    First Republic Securities Company, Llc
    Los Angeles, CA
  • 02/2021 → 09/2023
    First Republic Investment Management Inc
    Los Angeles, CA
  • 10/2020 → 01/2021
    Unemployed
    Arcadia, CA
  • 09/2023 → 12/2023
    J.P. Morgan Securities Llc
    Los Angeles, CA
  • 01/2024 → Present
    Morgan Stanley
    Pasadena, CA
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2022-03-25
S65 Uniform Investment Adviser Law Examination 2020-07-16
  • S63 Uniform Securities Agent State Law Examination
    2022-03-25
  • S65 Uniform Investment Adviser Law Examination
    2020-07-16
Other Names
  • Roger Li

View on SEC IAPD

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Jaymie BRIAN Wetzel
ALISA JANE CHANPONG
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Other Offices

CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PASADENA, CA
STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA
MML INVESTORS SERVICES, LLC · Pasadena, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PASADENA, CA
NASDAQ DORSEY WRIGHT · Pasadena, CA
U.S. BANCORP ADVISORS, LLC · Pasadena, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Pasadena, CA

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