Peter X. Li
Professional summary
Peter Xiaoran Li, who also goes by Peter Li, XIaoran Li, is a registered financial professional currently at BA SECURITIES, LLC located in W. Conshohocken, Pennsylvania.
Peter is registered as a RR (Registered Representative) and started their career in finance in 2008. Peter has worked at 3 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Peter Xiaoran Li's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 21, 2020 - Present
BA SECURITIES, LLC
Office #1: Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428August 15, 2012 - January 7, 2019
MOELIS & COMPANY LLC
January 1, 2008 - July 10, 2009
BURNHAM SECURITIES 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
(4/20/2021)
(4/20/2021)
Exams
FINRA
Current Firm
BA SECURITIES, LLC
CRD#: 153489 / SEC#: , 8-68545
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BA HOLDCO, LLC | OWNER | |
| BOLDEN, MICHAEL LABRADOR | CHIEF COMPLIANCE OFFICER | 6411755 |
| CHUFF, JOHN JOSEPH | PRESIDENT | 1205736 |
| HATLING, PEDER ALAN | PRINCIPAL | 5240595 |
| JUILIANO, COLLEEN JANE | FINOP | 4818898 |
| KELLER-YOUNG, SUZANNE | OPERATIONS MANAGER | 5495492 |
| PICKENS, DANIEL NEHIL | PRINCIPAL | 1042225 |
| WENTZLER, DENNIS RAYMOND | CHIEF OPERATIONS OFFICER & AML OFFICER | 4221461 |
Red Flags
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