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Lily Li

Wells Fargo Clearing Services, LLC

Alhambra, CA

Pasadena, CA

Chino Hills, CA

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Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2017-01-18
CA RA APPROVED 2011-01-03
  • TX RA
    APPROVED_RES
    Since 2017-01-18
  • CA RA
    APPROVED
    Since 2011-01-03

Branch Locations

726 E Valley Blvd, Alhambra, CA 91801 • United States

350 W Colorado Blvd Ste 390 [Pn-Rbo], Pasadena, CA 91105 • United States

3289 Grand Ave, Chino Hills, CA 91709 • 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
Wells Fargo Advisors Llc San Gabriel CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc San Gabriel CA 11/2016 Present
Previous Registrations
  • 2010-03-23 → 2011-01-03
    Wells Fargo Investments, Llc
    Alhambra, CA
    San Gabriel, CA
    Alhambra, CA
    Alhambra, CA
    San Gabriel, CA
    Pasadena, CA
  • 2007-05-29 → 2010-04-15
    Citigroup Global Markets Inc.
    Monrovia, CA
    Arcadia, CA
    Pasadena, CA
    Monrovia, CA
    Arcadia, CA
    Arcadia, CA
  • 2004-10-27 → 2007-05-29
    Citicorp Investment Services
    Arcadia, CA
    Arcadia, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-05-15
S63 Uniform Securities Agent State Law Examination 1996-01-31
  • S65 Uniform Investment Adviser Law Examination
    2003-05-15
  • S63 Uniform Securities Agent State Law Examination
    1996-01-31
Other Names
  • Li Lily
  • Li Rebecca Li
  • Li Kuo
  • Lily Li Kuo
  • Lily Li Kuo
  • Li Rebecca Li

View on SEC IAPD

Other Firms

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
STATE FARM INVESTMENT MANAGEMENT CORP.
J.P. MORGAN SECURITIES LLC
CETERA INVESTMENT ADVISERS LLC
MML INVESTORS SERVICES, LLC
BLUE CANYON WEALTH
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Other Investors

JAVIER R VALENZUELA
HAN WENG
Zhen Liu
VIET QUOC LE
Hsin Ping Yung
Samuel Kwun Pong Lau
JAY WEICHEN DING
KAREN HO LING CHAN

Other Offices

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Alhambra, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Alhambra, CA
J.P. MORGAN SECURITIES LLC · ALHAMBRA, CA
WELLS FARGO CLEARING SERVICES, LLC · ALHAMBRA, CA
CETERA INVESTMENT ADVISERS LLC · ALHAMBRA, CA
MML INVESTORS SERVICES, LLC · Alhambra, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Alhambra, CA
BLUE CANYON WEALTH · SOUTH PASADENA, CA

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