Roger M. 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.
Roger M Li, who also goes by Roger M. Li, Roger Ming Kwong Li, Roger Li, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1994. Roger had worked at 11 firms and has passed the Series 63, SIE, 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
December 20, 2023 - February 12, 2024
BA SECURITIES, LLC
January 24, 2023 - January 4, 2024
KINGSWOOD CAPITAL PARTNERS, LLC
October 17, 2022 - December 22, 2023
BRIARCLIFFE CREDIT PARTNERS, LLC
July 5, 2018 - September 19, 2022
KKR CAPITAL MARKETS LLC
December 9, 2014 - June 12, 2018
BNY MELLON SECURITIES CORPORATION
August 14, 2007 - July 30, 2010
NEXBANK SECURITIES INC
April 28, 2006 - July 13, 2007
UST SECURITIES CORP.
November 18, 2002 - April 10, 2006
CITICORP INVESTMENT SERVICES
November 8, 1999 - May 16, 2001
GOLDMAN SACHS & CO. LLC
November 22, 1995 - November 10, 1999
JPMSI
November 15, 1994 - November 3, 1995
SANFORD C. BERNSTEIN & CO., 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
BA SECURITIES, LLC
CRD#: 153489 / SEC#: , 8-68545
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BA HOLDCO, LLC | OWNER | |
| BOLDEN, MICHAEL LABRADOR | CHIEF COMPLIANCE OFFICER | 6411755 |
| CHUFF, JOHN JOSEPH | PRESIDENT | 1205736 |
| HATLING, PEDER ALAN | PRINCIPAL | 5240595 |
| JUILIANO, COLLEEN JANE | FINOP | 4818898 |
| KELLER-YOUNG, SUZANNE | OPERATIONS MANAGER | 5495492 |
| PICKENS, DANIEL NEHIL | PRINCIPAL | 1042225 |
| WENTZLER, DENNIS RAYMOND | CHIEF OPERATIONS OFFICER & AML OFFICER | 4221461 |
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.
