Alberto 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.
Alberto Li, who also goes by Alberto Li Mr., was a registered financial professional .
Alberto is a previously registered financial professional and started their career in finance in 1997. Alberto had worked at 4 firms and has passed the Series 65, 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
February 16, 2010 - December 31, 2017
WESTERN INTERNATIONAL SECURITIES, INC.
February 11, 2010 - February 11, 2010
WESTERN INTERNATIONAL SECURITIES, INC.
February 10, 2010 - December 31, 2017
WESTERN INTERNATIONAL SECURITIES, INC.
June 16, 2006 - February 4, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
June 13, 2006 - February 4, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
July 1, 2003 - June 2, 2006
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - June 2, 2006
WELLS FARGO CLEARING SERVICES, LLC
October 6, 1997 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
September 26, 1997 - July 1, 2003
PRUDENTIAL EQUITY GROUP, 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
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
