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Shuo Li

Charles Schwab & Co., Inc.

Brooklyn, NY

New York City, NY

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Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-22
  • NY RA
    APPROVED
    Since 2021-04-22

Branch Locations

100 7Th Avenue Suite 100B, Brooklyn, NY 11215-1306 • United States

100 Broadway, New York City, NY 10005 • 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
Myfavoraid Indianapolis IN 10/2015 01/2020
Charles Schwab & Co., Inc. Brooklyn NY 04/2017 Present
Charles Schwab Bank, Ssb Brooklyn NY 10/2018 Present
  • 10/2015 → 01/2020
    Myfavoraid
    Indianapolis, IN
  • 04/2017 → Present
    Charles Schwab & Co., Inc.
    Brooklyn, NY
  • 10/2018 → Present
    Charles Schwab Bank, Ssb
    Brooklyn, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-07-27
S63 Uniform Securities Agent State Law Examination 2017-10-03
  • S66 Uniform Combined State Law Examination
    2018-07-27
  • S63 Uniform Securities Agent State Law Examination
    2017-10-03
Designations
Other Names
  • Shuo S Li

View on SEC IAPD

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