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TL

Tao Li

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CRD#: 4208809
TL

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.

Tao Li was a registered financial professional .

Tao is a previously registered financial professional and started their career in finance in 2000. Tao had worked at 3 firms and has passed the SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 30, 2008 - January 3, 2017

FIVE MILE CAPITAL SECURITIES LLC

BD
CRD#: 115514
STAMFORD, CT
Past

August 16, 2004 - October 16, 2008

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

October 5, 2000 - July 26, 2004

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
STAMFORD, CT

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 1/3/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/26/2000
General Securities Representative Examination

Current Firm

FM
FIVE MILE CAPITAL SECURITIES LLC
EAST HILL PARTNERS, LLC | FIVE MILE CAPITAL SECURITIES LLC | EAST HILL TRADING LLC

CRD#: 115514 / SEC#: , 8-53493

BD
Terminated by SEC on 12/30/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 02/23/2001
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FIVE MILE CAPITAL PARTNERS LLCMEMBER
FULVIO, GENNARO JOHNFINANCIAL AND OPERATIONS PRINCIPAL2435828
HSIEH, ANNIE AI-CHIEHMANAGER, CHIEF COMPLIANCE OFFICER4865928

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.

Company Information

FIVE MILE CAPITAL SECURITIES LLC

CRD#: 115514

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