Hermann K. 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.
Hermann Kwong Li was a registered financial professional .
Hermann is a previously registered financial professional and started their career in finance in 1987. Hermann had worked at 13 firms and has passed the Series 65, Series 63, Series 6, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 2, 2011 - December 19, 2012
PRUCO SECURITIES, LLC.
September 2, 2011 - December 19, 2012
PRUCO SECURITIES, LLC.
February 12, 2007 - September 6, 2011
MSI FINANCIAL SERVICES, INC.
May 3, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
May 3, 2005 - September 6, 2011
MSI FINANCIAL SERVICES, INC.
April 1, 1999 - July 31, 2001
HIMCO DISTRIBUTION SERVICES COMPANY
May 27, 1994 - December 22, 1998
CITISTREET EQUITIES LLC
May 24, 1993 - June 10, 1993
SEI INVESTMENTS DISTRIBUTION CO.
February 5, 1993 - May 28, 1993
IFMG SECURITIES, INC.
December 19, 1989 - February 16, 1993
FINANCIAL SECURITIES NETWORK,INC.
August 25, 1989 - September 27, 1989
FIRST AFFILIATED SECURITIES
May 22, 1989 - August 25, 1989
PFG SECURITIES, INC.
May 8, 1989 - June 15, 1989
KANON BLOCH CARRE & CO., INC.
April 9, 1987 - May 2, 1989
UR FINANCIAL, INC.
February 27, 1987 - February 27, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
PRUCO SECURITIES, LLC.
CRD#: 5685 / SEC#: 801-52208, 8-16402
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
PRUCO SECURITIES, LLC.
CRD#: 5685 / SEC#: 801-52208, 8-16402
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | SOLE MEMBER | |
| FELICIANO, DEXTER MICHAEL | PRESIDENT | 5483537 |
| FLORIO, KELLY NICOLE | ANTI-MONEY LAUNDERING OFFICER | 6446272 |
| FONTANO, ANTHONY MICHAEL | ELECTED MANAGER | 6852155 |
| HYNES, PATRICK LIAM | CHAIRMAN, ELECTED MANAGER | 2748918 |
| PATEL, PARANJ | CHIEF COMPLIANCE OFFICER | 4235738 |
| SMIT, ROBERT PHILIP | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, CONTROLLER, PRINCIPAL OPERATIONS OFFICER | 2332366 |
| THOMSEN, JORDAN KARSTEN | CHIEF LEGAL OFFICER | 2821664 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 13 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 12/22/2023 | ||
| 12/22/2023 |
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.
