Liqi Di
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.
Liqi Di was a registered financial professional .
Liqi is a previously registered financial professional and started their career in finance in 1991. Liqi had worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2010 - December 23, 2013
UNIVEST SECURITIES, LLC
February 26, 2008 - November 2, 2010
AMERICAN UNION SECURITIES, INC.
January 1, 2006 - February 25, 2008
R. F. LAFFERTY & CO., INC.
August 29, 2000 - January 2, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 12, 1996 - August 25, 2000
BRILL SECURITIES, INC.
September 30, 1994 - June 7, 1996
JWGENESIS SECURITIES, INC.
February 24, 1992 - October 5, 1994
THE STAMFORD COMPANY, INC.
June 17, 1991 - March 3, 1992
NETWORK 1 FINANCIAL SECURITIES INC.
January 18, 1991 - June 26, 1991
PAULSON INVESTMENT COMPANY LLC
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
UNIVEST SECURITIES, LLC
CRD#: 36105 / SEC#: , 8-47006
Contact information
FINRA licenses (26 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
