Li P. Guay

STRAIT & SOUND

Renton, WA

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CRD#: 4058377

Professional summary

Li Ping Guay, who also goes by Li Ping Ping Guay, is a registered financial advisor currently at STRAIT & SOUND located in Renton, Washington.

Li is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Li has worked at 5 firms and has passed the Series 66, Series 63, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Li Ping Ping Guay

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Li Ping Guay's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 31, 2022 - Present

STRAIT & SOUND

RIA

CRD#: 309306

Renton, WA

Past

May 3, 2022 - May 4, 2022

STRAIT & SOUND

RIA

CRD#: 309306

Renton, WA

Past

December 8, 2021 - August 17, 2022

GPS CAPITAL MANAGEMENT, LLC

RIA

CRD#: 136330

BELLEVUE, WA

Past

November 18, 2011 - August 28, 2022

PG GLOBAL WEALTH MANAGEMENT, INC.

RIA

CRD#: 158927

RENTON, WA

Past

August 18, 2010 - October 5, 2011

ORCA INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 144377

LAKE OSWEGO, OR

Past

September 23, 2003 - August 10, 2010

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

BELLEVUE, WA

Past

March 14, 2000 - August 10, 2010

CHARLES SCHWAB & CO., INC.

CRD#: 5393

BELLEVUE, WA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

STRAIT & SOUND

STRAIT & SOUND | STRAIT & SOUND WEALTH MANAGEMENT LLC

CRD#: 309306 / SEC#: 801-118892

RIA

Registered Investment Advisory firm - (6/12/2020 Approved)

California

Registered Investment Advisory firm - (4/28/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Texas
(9/15/2022)

IAR

Washington
(8/31/2022)

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 66

Date: 9/10/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/6/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/10/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/5/2004

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 12/31/2003

General Securities Sales Supervisor - Options Module Examination

Current Firm

STRAIT & SOUND

STRAIT & SOUND | STRAIT & SOUND WEALTH MANAGEMENT LLC

CRD#: 309306 / SEC#: 801-118892

RIA

Registered Investment Advisory firm - (6/12/2020 Approved)

California

Registered Investment Advisory firm - (4/28/2021 Terminated)

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Contact information

Main Address

San Francisco, CA

Mailing Address

P.o. Box 22391, San Francisco, CA 94122

Phone number

(425) 577-7710

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE DOCUMENT FOR ALL CLIENTS (7/29/2025)

Regulatory assets under management

Total Number of Accounts	658
AUM (Assets Under Management)	$ 303,923,751

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

Li P. Guay

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Li Ping Guay's CRS (Customer Relationship Summary).

Certified licenses

Experience

STRAIT & SOUND

GPS CAPITAL MANAGEMENT, LLC

PG GLOBAL WEALTH MANAGEMENT, INC.

ORCA INVESTMENT MANAGEMENT, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

STRAIT & SOUND

State Registrations and Notice Filings

Exams

Series 66

Date: 9/10/2003

Series 63

Date: 3/6/2000

Series 7

Date: 2/10/2000

Series 10

Date: 1/5/2004

Series 9

Date: 12/31/2003

Current Firm

STRAIT & SOUND

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STRAIT & SOUND

TRUST BUT VERIFY

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