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Detailed Report
Yiqun Li
Roger Li
CRD#: 7241618
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 55 South Lake Avenue Pasadena Towers - Tower II
Suite 700
Pasadena, CA 91101
Registration History
20202021202220232024202520262 FIRMS2020 - 2020 (<1 year)2 FIRMS2021 - 2023 (2 years)2 FIRMS2024 - Present (1 year)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2023 - 2023 (<1 year)
License(s)

State Registrations

B
Arizona 1/9/2024
B
Minnesota 1/9/2024
B
California 1/9/2024
B
Missouri 1/9/2024
IA
California 1/9/2024
B
Nevada 1/9/2024
B
Colorado 1/9/2024
B
New Jersey 1/9/2024
B
Connecticut 1/9/2024
B
New York 1/9/2024
B
Delaware 1/9/2024
B
North Carolina 1/9/2024
B
Florida 1/9/2024
B
North Dakota 1/9/2024
B
Georgia 1/9/2024
B
Ohio 1/9/2024
B
Hawaii 1/9/2024
B
Oregon 1/9/2024
B
Illinois 1/9/2024
B
Texas 1/9/2024
B
Indiana 1/9/2024
IA
Texas 1/9/2024
B
Maryland 1/9/2024
B
Utah 1/9/2024
B
Massachusetts 1/9/2024
B
Virginia 1/9/2024
B
Michigan 1/9/2024
B
Washington 1/9/2024

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)
55 South Lake Avenue Pasadena Towers - Tower II Suite 700, Pasadena, CA 91101
Registered with this firm since 1/9/2024
B
MORGAN STANLEY (CRD#:149777)
55 South Lake Avenue Pasadena Towers - Tower II Suite 700, Pasadena, CA 91101
Registered with this firm since 1/9/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/17/2021 - 12/13/2023 J.P. MORGAN PRIVATE WEALTH ADVISORS LLC (CRD#:108559) Los Angeles, CA
B
 09/29/2023 - 12/12/2023 J.P. MORGAN SECURITIES LLC (CRD#:79) LOS ANGELES, CA
B
 02/17/2021 - 09/29/2023 FIRST REPUBLIC SECURITIES COMPANY, LLC (CRD#:105108) LOS ANGELES, CA
IA
 07/16/2020 - 09/29/2020 MUTUAL OF OMAHA INVESTOR SERVICES, INC. (CRD#:611) LOS ANGELES, CA
B
 09/10/2020 - 09/29/2020 MUTUAL OF OMAHA INVESTOR SERVICES, INC. (CRD#:611) LOS ANGELES, 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.
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.