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Detailed Report
MARIA CLAUDIA LI
MARIA CLAUDIA CARDENAS
CRD#: 4496239
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 200 South Biscayne Boulevard
Suite 1100
Miami, FL 33131
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2017 - 2021 (3 years)2 FIRMS2021 - Present (4 years)BHSBC SECURITIES (USA) INC. (CRD# 19585)2005 - 2017 (12 years)BHSBC BROKERAGE (USA) INC. (CRD# 6956)2002 - 2005 (2 years)
License(s)

State Registrations

B
Arizona 3/15/2021
B
North Carolina 6/10/2021
B
California 3/15/2021
B
Oklahoma 1/4/2023
B
Connecticut 1/4/2023
B
Oregon 1/4/2023
B
Delaware 3/15/2021
B
Pennsylvania 3/15/2021
B
Florida 3/15/2021
B
South Dakota 3/15/2021
IA
Florida 3/17/2021
B
Tennessee 1/4/2023
B
Georgia 3/15/2021
B
Texas 3/15/2021
B
Maryland 1/4/2023
IA
Texas 3/15/2021
B
Massachusetts 3/15/2021
B
Utah 1/4/2023
B
Missouri 8/5/2024
B
Virgin Islands 10/4/2023
B
Montana 7/9/2024
B
Virginia 1/4/2023
B
Nevada 1/8/2025
B
Washington 3/15/2021
B
New Jersey 3/15/2021
B
Wyoming 1/4/2023
B
New York 3/15/2021

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
200 South Biscayne Boulevard Suite 1100, Miami, FL 33131
Registered with this firm since 3/15/2021
B
MORGAN STANLEY (CRD#:149777)
200 South Biscayne Boulevard Suite 1100, Miami, FL 33131
Registered with this firm since 3/15/2021
Previous Registration(s)
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IA
 10/09/2017 - 03/16/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) MIAMI, FL
B
 09/18/2017 - 03/16/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) MIAMI, FL
B
 01/01/2005 - 09/28/2017 HSBC SECURITIES (USA) INC. (CRD#:19585) MIAMI, FL
B
 03/13/2002 - 01/01/2005 HSBC BROKERAGE (USA) INC. (CRD#:6956) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.