Alan O. Li

JS ALAN

Beverly Hills, CA 90210

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CRD#: 4795225

Professional summary

Alan Ozzy Li is a registered financial advisor currently at JS ALAN, LLC located in Beverly Hills, California.

Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Alan has worked at 4 firms and has passed the Series 65, Series 63 and Series 7 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.

Alan Li sells health insurance policies under JSA Insurance Services, LLC, a BDA to JS Alan, LLC. It is non-investment related and the address of this business is 468 N. Camden Drive, Suite 200, Beverly Hills, CA 90210. Alan Li is licensed to sell health insurance products for the following companies: Anthem Blue Cross, HealthNet, Blue Shield, and Kaiser. Alan Li's role in this business is that of an agent. The duties of this business includes receiving and providing quotes for potential policies, answering questions on existing and potential policies, acting as a liaison between policy holders and insurance companies. Alan Li spends less than an hour a week during trading hours on this business.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Ozzy 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®

None

Experience

Current

October 21, 2008 - Present

JS ALAN, LLC

Office #1: 468 N. Camden Dr. Suite 200, Beverly Hills, CA 90210

RIA

CRD#: 148163

Beverly Hills, CA

Past

August 24, 2005 - November 24, 2008

ANCHOR WEALTH MANAGEMENT

RIA

CRD#: 135666

CITY OF INDUSTRY, CA

Past

December 7, 2004 - May 19, 2005

APRIEM ADVISORS

RIA

CRD#: 108188

IRVINE, CA

Past

June 22, 2004 - May 13, 2005

DOLPHIN SECURITIES, INC.

CRD#: 10525

SAN MARCOS, CA

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

California
(10/21/2008)

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: 12/6/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/9/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/21/2004

General Securities Representative Examination

Current Firm

JS ALAN, LLC

JALAN CAPITAL | JS ALAN, LLC | JALAN CAPITAL GROUP, LLC

CRD#: 148163 / SEC#:

California

Registered Investment Advisory firm - (10/20/2008 Approved)

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Contact information

Main Address

468 N. Camden Dr. Suite 200, Beverly Hills, CA 90210

Mailing Address

Phone number

(310) 858-5533

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	16
AUM (Assets Under Management)	$ 14,000,000

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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Alan O. Li

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Ozzy Li's CRS (Customer Relationship Summary).

Certified licenses

Experience

JS ALAN, LLC

ANCHOR WEALTH MANAGEMENT

APRIEM ADVISORS

DOLPHIN SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/6/2004

Series 63

Date: 8/9/2004

Series 7

Date: 6/21/2004

Current Firm

JS ALAN, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

JS ALAN, LLC

TRUST BUT VERIFY

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