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Detailed Report
Junia Pan Li
JUNIA PAN LI, Junia PanLi
CRD#: 5242618
IA
Investment Adviser
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Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 9465 WILSHIRE BOULEVARD
Suite 700
BEVERLY HILLS, CA 90212-2351
Registration History
2010201220142016201820202022202420262 FIRMS2012 - 2012 (<1 year)2 FIRMS2012 - 2013 (<1 year)2 FIRMS2014 - 2017 (2 years)2 FIRMS2017 - 2021 (3 years)2 FIRMS2023 - 2024 (1 year)2 FIRMS2024 - Present (<1 year)BSTATE FARM VP MANAGEMENT CORP. (CRD# 43036)2010 - 2012 (1 year)IACAPITAL GROUP PRIVATE CLIENT S... (CRD# 312837)2021 - 2023 (1 year)IACAPITAL BANK AND TRUST COMPANY (CRD# 170017)2021 - 2021 (<1 year)
License(s)

State Registrations

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California 10/9/2024
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New York 10/29/2024
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California 10/10/2024
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Washington 10/10/2024
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Massachusetts 11/1/2024

SRO Registrations

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 BOX Exchange LLC
B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 Long-Term Stock Exchange, Inc.
B
 MEMX LLC
B
 MIAX PEARL, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 NYSE National, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
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 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)
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RBC CAPITAL MARKETS, LLC (CRD#:31194)
9465 WILSHIRE BOULEVARD Suite 700, BEVERLY HILLS, CA 90212-2351
300B Drakes Landing Road STE 155, Greenbrae, CA 94904
Registered with this firm since 10/9/2024
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RBC CAPITAL MARKETS, LLC (CRD#:31194)
9465 WILSHIRE BOULEVARD Suite 700, BEVERLY HILLS, CA 90212-2351
300B Drakes Landing Road STE 155, Greenbrae, CA 94904
Registered with this firm since 10/9/2024
Previous Registration(s)
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 12/13/2023 - 07/26/2024 HSBC SECURITIES (USA) INC. (CRD#:19585) San Francisco, CA
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 03/29/2023 - 07/26/2024 HSBC SECURITIES (USA) INC. (CRD#:19585) San Francisco, CA
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 07/01/2021 - 01/25/2023 CAPITAL GROUP PRIVATE CLIENT SERVICES, INC. (CRD#:312837) LOS ANGELES, CA
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 02/01/2021 - 07/01/2021 CAPITAL BANK AND TRUST COMPANY (CRD#:170017) San Francisco, CA
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 10/09/2017 - 01/25/2021 HSBC SECURITIES (USA) INC. (CRD#:19585) SAN FRANCISCO, CA
B
 10/09/2017 - 01/25/2021 HSBC SECURITIES (USA) INC. (CRD#:19585) SAN FRANCISCO, CA
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 12/15/2014 - 07/21/2017 J.P. MORGAN SECURITIES LLC (CRD#:79) SAN MARINO, CA
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 12/15/2014 - 07/21/2017 J.P. MORGAN SECURITIES LLC (CRD#:79) SAN MARINO, CA
IA
 10/01/2012 - 09/25/2013 J.P. MORGAN SECURITIES LLC (CRD#:79) ALHAMBRA, CA
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 10/01/2012 - 09/25/2013 J.P. MORGAN SECURITIES LLC (CRD#:79) ALHAMBRA, CA
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 05/31/2012 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) PASADENA, CA
B
 02/15/2012 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) PASADENA, CA
B
 11/15/2010 - 01/05/2012 STATE FARM VP MANAGEMENT CORP. (CRD#:43036) ROSEMEAD, CA
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.
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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.