Dee Dee Li-kha
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.
Dee Dee Li-kha, who also goes by Deedee Li, Li Yun Li, Yi Yun Li, Dee D. Li-kha, Deedee Li-kha, was a registered financial professional .
Dee Dee is a previously registered financial professional and started their career in finance in 1997. Dee Dee had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2018 - February 9, 2024
CHARLES SCHWAB & CO., INC.
April 30, 2018 - February 9, 2024
CHARLES SCHWAB & CO., INC.
August 31, 2015 - April 18, 2018
J.P. MORGAN SECURITIES LLC
August 31, 2015 - April 18, 2018
J.P. MORGAN SECURITIES LLC
November 2, 2011 - August 13, 2015
WELLS FARGO CLEARING SERVICES, LLC
November 1, 2011 - August 13, 2015
WELLS FARGO CLEARING SERVICES, LLC
September 3, 2010 - November 2, 2011
BANCWEST INVESTMENT SERVICES, INC.
September 3, 2010 - November 2, 2011
BANCWEST INVESTMENT SERVICES, INC.
July 10, 2006 - March 3, 2009
BANCWEST INVESTMENT SERVICES, INC.
June 8, 2004 - July 19, 2004
BANCWEST INVESTMENT SERVICES, INC.
June 8, 2004 - March 3, 2009
BANCWEST INVESTMENT SERVICES, INC.
March 7, 2003 - May 12, 2004
CITICORP INVESTMENT SERVICES
February 5, 2003 - May 12, 2004
CITICORP INVESTMENT SERVICES
May 22, 2002 - February 5, 2003
CAL FED INVESTMENTS
October 6, 2000 - May 31, 2002
CHARLES SCHWAB & CO., INC.
September 3, 1999 - May 31, 2002
CHARLES SCHWAB & CO., INC.
September 19, 1997 - June 15, 1999
CAL FED INVESTMENTS
July 28, 1997 - August 29, 1997
BLACKROCK EXECUTION SERVICES
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
