John Li
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Li was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1981. John had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2017 - July 28, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
August 30, 2017 - July 28, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
November 22, 2013 - August 3, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
November 22, 2013 - August 3, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
September 21, 2009 - November 11, 2013
LPL FINANCIAL LLC
September 18, 2009 - November 11, 2013
LPL FINANCIAL LLC
March 13, 2009 - September 24, 2009
RBC CAPITAL MARKETS, LLC
March 13, 2009 - September 24, 2009
RBC CAPITAL MARKETS, LLC
June 12, 2001 - March 13, 2009
FERRIS, BAKER WATTS, LLC
August 10, 1994 - March 13, 2009
FERRIS, BAKER WATTS, LLC
April 2, 1991 - August 5, 1994
CITICORP INVESTMENT SERVICES
November 17, 1987 - March 13, 1991
MSI FINANCIAL SERVICES, INC.
October 28, 1987 - March 13, 1991
METROPOLITAN LIFE INSURANCE COMPANY
May 17, 1985 - October 16, 1987
NORTH AMERICAN INVESTMENT CORP.
November 20, 1981 - May 2, 1985
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
