Clifford M. 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.
Clifford Man Ho Li, who also goes by Cliff Li, Clifford Mau Ho Li, was a registered financial professional .
Clifford is a previously registered financial professional and started their career in finance in 2005. Clifford had worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2013 - December 5, 2014
ATEL SECURITIES CORPORATION
December 6, 2006 - December 23, 2008
CION SECURITIES, LLC
March 13, 2006 - November 28, 2006
NATIXIS DISTRIBUTION, LLC
March 14, 2005 - November 28, 2006
NATIXIS ADVISORS, LLC
State Registrations and Notice Filings
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Exams
Current Firm
ATEL SECURITIES CORPORATION
CRD#: 17229 / SEC#: , 8-35271
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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