Xin X. 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.
Xin Xin Li, who also goes by Annie Li, XIn Li, Xin Xin Li, Xinxin Li, was a registered financial advisor .
Xin is a previously registered financial advisor and started their career in finance in 1999. Xin had worked at 5 firms and has passed the Series 65, Series 63, Series 31, 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
December 16, 2011 - May 25, 2012
UBS FINANCIAL SERVICES INC.
December 8, 2011 - May 25, 2012
UBS FINANCIAL SERVICES INC.
January 1, 2010 - August 10, 2010
UBS FINANCIAL SERVICES INC.
January 1, 2010 - August 10, 2010
UBS FINANCIAL SERVICES INC.
December 18, 2008 - January 1, 2010
UBS INTERNATIONAL INC.
December 17, 2008 - January 1, 2010
UBS INTERNATIONAL INC.
February 16, 2007 - November 13, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 16, 2007 - November 13, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 11, 2000 - March 12, 2007
MORGAN STANLEY DW INC.
April 14, 2000 - March 12, 2007
MORGAN STANLEY DW INC.
April 15, 1999 - February 29, 2000
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
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
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | OWNER | |
| CAMACHO, MICHAEL ALAN | PRESIDENT | 2907298 |
| FRANCOMANO, LISA M. | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS | 2263875 |
| MATTONE, RALPH | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MOZER, PETER | MANAGING DIRECTOR | 2523858 |
| MUNFA, LAUREN | CHIEF COMPLIANCE OFFICER | 4431011 |
| SAKAI, KIYE | GENERAL COUNSEL | 7451987 |
| SOMMA, JOSEPH | PRINCIPAL OPERATIONS OFFICER | 2219496 |
Regulatory assets under management
| Total Number of Accounts | 1,134,923 |
| AUM (Assets Under Management) | $ 808,822,670,899 |
Disclosures
| Regulatory Event | 475 |
| Civil Event | 5 |
| Arbitration | 443 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/26/2025 | ||
| 05/15/2024 | ||
| 12/19/2023 |
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.
