Bing 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.
Bing Li, who also goes by Li Bing, was a registered financial professional .
Bing is a previously registered financial professional and started their career in finance in 2004. Bing had worked at 4 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 5, 2012 - January 7, 2014
TGP SECURITIES, INC.
February 21, 2011 - October 23, 2012
PICKWICK CAPITAL PARTNERS, LLC
June 26, 2009 - December 31, 2010
MCKIM CAPITAL, INC.
September 3, 2004 - July 27, 2007
HSBC SECURITIES (USA) 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
Exams
Current Firm
TGP SECURITIES, INC.
CRD#: 159008 / SEC#: , 8-68955
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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.
