Jing Li
Professional summary
Jing Li, who also goes by Lillian J. Li, is a registered financial professional currently at NI ADVISORS located in Milpitas, California.
Jing is registered as a RR (Registered Representative) and started their career in finance in 2006. Jing has worked at 6 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jing Li's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 3, 2025 - Present
NI ADVISORS
Office #1: 1138 Cadillac Court, Milpitas, CA 95035March 27, 2025 - April 17, 2025
THE LEADERS GROUP, INC.
January 6, 2012 - March 19, 2025
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 6, 2007 - January 6, 2012
WORLD GROUP SECURITIES, INC.
May 29, 2007 - July 17, 2007
CITIGROUP GLOBAL MARKETS INC.
July 3, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/3/2025)
Exams
FINRA
Current Firm
NI ADVISORS
CRD#: 134502 / SEC#: , 8-66841
Contact information
FINRA licenses (34 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 3,560,000 |
Disclosures
| Regulatory 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.
