Irene L. Williams
Professional summary
Irene Li Williams, who also goes by Irene Qiongshu Li, Qiongshu Irene Li, Irene Williams, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in Encino, California.
Irene is registered as a RR (Registered Representative) and started their career in finance in 2000. Irene has worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Irene Li Williams's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 11, 2025 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 15821 Ventura Blvd, Encino, CA 91436September 25, 2017 - January 14, 2025
CETERA INVESTMENT SERVICES LLC
February 28, 2017 - September 25, 2017
LPL FINANCIAL LLC
January 21, 2011 - February 28, 2017
CETERA INVESTMENT SERVICES LLC
February 12, 2010 - October 22, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
February 17, 2009 - February 18, 2010
LPL FINANCIAL LLC
May 30, 2006 - March 10, 2009
UCB INVESTMENT SERVICES, INC.
July 15, 2005 - April 10, 2006
UVEST FINANCIAL SERVICES GROUP, INC.
October 2, 2003 - July 26, 2005
IFMG SECURITIES, INC.
December 5, 2000 - August 20, 2003
GATEWAY INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/11/2025)
Exams
FINRA
Current Firm
CETERA INVESTMENT SERVICES LLC
CRD#: 15340 / SEC#: 801-45573, 8-31826
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WEITHAUS, GWENDOLYN | CHIEF COMPLIANCE OFFICER | 2445442 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
Red Flags
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