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CHUNG PING LI
CHRISTOPHER CHUNG PING LI
CRD#: 4575230
IA
B
GRIFFINEST ASIA ASSET MANAGEMENT, LLCCRD#: 306355 301 N. LAKE AVE.,
SUITE 110
PASADENA, CA 91101
SUITE 110
PASADENA, CA 91101
GRIFFINEST ASIA SECURITIES, LLCCRD#: 132187 301 NORTH LAKE AVENUE
SUITE 110
PASADENA, CA 91101
SUITE 110
PASADENA, CA 91101
0
Disclosures
22
Years of Experience
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State Registrations
B
California 10/20/2005
B
Nevada 3/7/2022
IA
California 1/3/2020
SRO Registrations
B
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IA
Registered with this firm since 1/3/2020
B
Registered with this firm since 10/20/2005
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/20/2005 - 11/23/2014 | PASADENA, CA | |
B | 10/06/2002 - 10/18/2005 | COVINA, CA |
PASADENA, CA
10/20/2005 - 11/23/2014
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.