An Qi Li

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-10-19

NY RA
APPROVED

Since 2021-10-19

Branch Locations

1 New York Plaza, New York, NY 10004 • United States

Brooklyn, NY • 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

Organization	City	State	From	To
Transamerica Financial Advisors, Inc	Flushing	NY	11/2018	01/2020
World Financial Group, Inc.	Flushing	NY	11/2015	01/2020
Student	Buffalo	NY	08/2014	05/2018
Morgan Stanley	New York	NY	10/2021	Present
Univest Securities, Llc	New York	NY	01/2020	09/2021

11/2018 → 01/2020

Transamerica Financial Advisors, Inc

Flushing, NY
11/2015 → 01/2020

World Financial Group, Inc.

Flushing, NY
08/2014 → 05/2018

Student

Buffalo, NY
10/2021 → Present

Morgan Stanley

New York, NY
01/2020 → 09/2021

Univest Securities, Llc

New York, NY

Previous Registrations

2018-12-21 → 2020-01-13

Transamerica Financial Advisors, Llc

New York, NY

Great Neck, NY

Other Businesses

*460345- WUT Group Corp (Weunited Team); Investment related No; New York, New York; Insurance; Commission; 10/2021; During business hours: 0; After business hours: 0; *460341- World Financial Group; Investment related No; John Creeks, Georgia; Insurance; Contractor (proprietor, partner, officer, director, employee, trustee, agent); 10/2021; During business hours: 0; After business hours: 0; Commission

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2019-02-22
S65	Uniform Investment Adviser Law Examination	2018-11-27

S63 Uniform Securities Agent State Law Examination

2019-02-22
S65 Uniform Investment Adviser Law Examination

2018-11-27

View on SEC IAPD