Xiaoyu 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.
Xiaoyu Li, who also goes by Alice XIaoyu Li, was a registered financial professional .
Xiaoyu is a previously registered financial professional and started their career in finance in 1998. Xiaoyu had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2009 - May 15, 2015
JUMP TRADING, LLC
August 3, 2006 - December 31, 2008
J.P. MORGAN SECURITIES LLC
August 3, 2006 - June 12, 2009
J.P. MORGAN CLEARING CORP.
August 17, 2004 - December 15, 2005
BARCLAYS CAPITAL INC.
April 24, 2002 - September 8, 2004
CITIGROUP GLOBAL MARKETS INC.
September 2, 1998 - July 21, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
JUMP TRADING, LLC
CRD#: 106124 / SEC#: , 8-52989
Contact information
Documents
Disclosures
| Regulatory Event | 15 |
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.
