Elizabeth H. Li

EHMLI INVESTMENT ADVISORS LLC

DAYTON, OH 45459

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CRD#: 2982513

Professional summary

Elizabeth H Li, CFP® is a registered financial advisor currently at EHMLI INVESTMENT ADVISORS LLC located in Dayton, Ohio.

Elizabeth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Elizabeth has worked at 6 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1.PRINCIPAL AND MANAGING MEMBER OF EHMLI INVESTMENT ADVISORS LLC, AN INVESTMENT ADVISORY FIRM REGISTERED WITH THE STATE OF OHIO SECURITIES DIVISION. 2. BUSINESS AND INDIVIDUAL INCOME TAX PREPARATION, PLANNING, AND ADVISORY SERVICES -- AS PRINCIPAL OWNER OF EHMLI INC. 60-70 HOURS A WEEK DURING TAX SEASON. 8-10 HOURS PER WEEK DURING NON TAX SEASON. 3. INDEPENDENT AGENT FOR- LIFE AND HEALTH INSURANCE (NON-INVESTMENT RELATED) 5-10 HOURS A WEEK. 4. ESTATE PLANNING, TAX PLANNING AND OTHER NON-INVESTMENT RELATED PLANNING (5-10 HOURS PER WEEK). 5. ADJUNCT INSTRUCTOR IN ECONOMICS AND FINANCE (SPRING 2003 ON) -NORTHERN KENTUCKY UNIVERSITY

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Elizabeth H Li's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2001

Experience

Current

November 8, 2005 - Present

EHMLI INVESTMENT ADVISORS LLC

Office #1: 7026 Corporate Way Suite 111, Dayton, OH 45459

RIA

CRD#: 137273

DAYTON, OH

Past

December 17, 2004 - November 16, 2005

OSAIC WEALTH, INC.

RIA

CRD#: 23131

COVINGTON, KY

Past

July 11, 2003 - November 16, 2005

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

July 18, 2001 - July 3, 2003

OSAIC FA, INC.

RIA

CRD#: 3978

CINCINNATI, OH

Past

July 12, 2001 - July 3, 2003

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

July 12, 2001 - July 3, 2003

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

June 26, 2001 - July 9, 2001

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

February 5, 1998 - May 7, 2001

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Ohio
(11/8/2005)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/2/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/23/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 2/26/1998

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/20/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/5/2004

General Securities Principal Examination

Current Firm

EHMLI INVESTMENT ADVISORS LLC

EHMLI INVESTMENT ADVISORS LLC | EHMLI TAX AND FINANCIALPLANNING

CRD#: 137273 / SEC#:

Ohio

Registered Investment Advisory firm - (11/2/2005 Approved)

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Contact information

Main Address

7026 Corporate Way Suite 111, Dayton, OH 45459

Mailing Address

Phone number

(937) 312-9699

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	105
AUM (Assets Under Management)	$ 28,034,289

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
Illinois	ERA - Withdrawn	1/5/2015

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.

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Firm Stability Insights

Elizabeth H. Li

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Elizabeth H Li's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

EQUITABLE ADVISORS, LLC

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/2/1998

Series 63

Date: 1/23/1998

Series 3

Date: 2/26/1998

Series 7

Date: 1/20/1998

Series 24

Date: 1/5/2004

Current Firm

EHMLI INVESTMENT ADVISORS LLC

Contact information

Documents

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

EHMLI INVESTMENT ADVISORS LLC

TRUST BUT VERIFY

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