Lei Li
Professional summary
Lei Li, who also goes by Helen Lei, Li Lei, Helen Lei Li, is a registered financial professional currently at EMPIRE INVESTMENT INC. located in Flushing, New York.
Lei is registered as a RR (Registered Representative) and started their career in finance in 1992. Lei has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lei Li's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 28, 1994 - Present
EMPIRE INVESTMENT INC.
Office #1: 136-20 38th Avenue Suite 9e, Flushing, NY 11354Office #2: 136-20 38th Ave. Suite 9e, Flushing, NY 11354May 26, 1992 - October 7, 1992
LADENBURG THALMANN & CO. INC.
March 11, 1992 - May 28, 1992
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
EMPIRE INVESTMENT INC.
CRD#: 16763 / SEC#: , 8-33594
Contact information
FINRA licenses (3 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WU, LEON SUN | PRESIDENT/ CHIEF COMPLIANCE OFFICER | 6529899 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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