Chester H. 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.
Chester Han Li was a registered financial professional .
Chester is a previously registered financial professional and started their career in finance in 1984. Chester had worked at 10 firms and has passed the Series 63, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2002 - February 12, 2003
PARK SOUTH SECURITIES, LLC
October 5, 2001 - August 23, 2002
OPPENHEIMER & CO. INC.
July 1, 1998 - September 18, 2001
COWEN AND COMPANY
October 20, 1995 - July 1, 1998
FINANCIAL SQUARE PARTNERS
June 3, 1992 - November 22, 1994
MORGAN STANLEY & CO. LLC
December 21, 1989 - May 11, 1992
PERSHING LLC
May 2, 1989 - October 2, 1989
J F LOWE & COMPANY INCORPORATED
January 1, 1989 - March 10, 1989
INVESTORS CENTER, INC.
July 7, 1988 - November 30, 1988
MOORE & SCHLEY, CAMERON & CO.
January 25, 1984 - June 15, 1988
MULLER AND COMPANY, INC.
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
PARK SOUTH SECURITIES, LLC
CRD#: 103520 / SEC#: , 8-52188
Contact information
Documents
Disclosures
| Civil Event | 1 |
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.
