Li Pan

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

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

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2019-09-06
NJ	RA	APPROVED	2019-02-21

Branch Locations

27 Beechwood Rd, Summit, NJ 07901 • United States

554 S Livingston Ave, Livingston, NJ 07039 • United States

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

Organization	City	State	From	To
Nylife Securities, Llc	Saddle Brook	NJ	02/2018	10/2018
New York Life Insurance Company	Saddle Brook	NJ	06/2017	10/2018
Transamerica	Warren	NJ	03/2017	06/2017
Sweet Basil Technology Llc	Livingston	NJ	12/2015	07/2019
Millburn Institute Of Talent	Millburn	NJ	09/2017	06/2018
Livingston Huaxia Chinese School	Livingston	NJ	05/2017	06/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Montville	NJ	10/2018	Present
Bank Of America, N.A.	Montville	NJ	12/2018	Present

02/2018 → 10/2018

Nylife Securities, Llc

Saddle Brook, NJ
06/2017 → 10/2018

New York Life Insurance Company

Saddle Brook, NJ
03/2017 → 06/2017

Transamerica

Warren, NJ
12/2015 → 07/2019

Sweet Basil Technology Llc

Livingston, NJ
09/2017 → 06/2018

Millburn Institute Of Talent

Millburn, NJ
05/2017 → 06/2019

Livingston Huaxia Chinese School

Livingston, NJ
10/2018 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Montville, NJ
12/2018 → Present

Bank Of America, N.A.

Montville, NJ

Code	Exam	Date
S66	Uniform Combined State Law Examination	2019-02-05
S63	Uniform Securities Agent State Law Examination	2018-07-12

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