LL
Li Li
TRANSAMERICA FINANCIAL ADVISORS
Waltham, MA 02451
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CRD#: 5306243
LL
Professional summary
Li Li, CFA is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Waltham, Massachusetts.
Li is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Li has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 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.
Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. Li Service / 0422-Present / Investment Related: No / 3 Bentas Place, Li Service, Chelmsford, MA 01824 / Owner / This is My DB plan's name / Hrs. Work Monthly: 0 / Sec Trading Hrs: 0 / I used Li Service as my DB plan name and No Activities Rental Property / 1221-Present / Investment Related: No / 77 Linwood St. Medford, MA 02155 / Tenancy by the entirely/Rental Property / Hrs. Work Monthly: 8 / Sec Trading Hrs: 0 / Just rent it out to receive the rental income MORTGAGE LENDING DIRECT/NO/YES/30 B VREELAND RD, THIRD FLOOR, FLORHAM, NJ 07932/MAKING MORTGAGE LOAN/SENIOR LOAN OFFICER/10.28.2016/20/4/HELP BORROWERS TO GET MORTGAGE LOAN. International Health & travel Medical Insurance / 0519-present/ Investment Related: No / 2960 N. Meridian St. Indianapolis, IN 46208 / Health Insurance Producer / Health Insurance / hrs work monthly: 5 / Sec trading hrs: 0 / Help client if they are looking for health insurance Tokio Marine HCC - Medical Insurance Services Group / 0817-present / Investment Related: NO / 251 North Illinois Street, Suite 600, Indianapolis, IN, 46204 / sales agent/ sell traveler medical insurance/ Hrs work: 5 / Sec Trading Hrs: 0 / when anyone need medical insurance so I can help them to get the medical plan Co name: CHINESE SCHOOL ANDOVER, MA, 01810/ emp dates: 0906 TO PRESENT/ INVESTMENT RELATED: NO /address: 34 SUNSET ROCK RD ANDOVER, MA 01810/ position: LANGUAGE TEACHER/ nature of business: EDUCATION / hrs work monthly: 8 /Sec trading hrs: 0/ duties: ONCE A WEEK TEACHING OBA Amendment Update: "CHINESE SCHOOL ANDOVER, MA, 01810" YOUTH EMPOWERMENT SUPPORT FOUNDATION POSITION: Treasurer NATURE: Non Profit to help YouthLeadship training INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2024 ADDRESS: 283 Winchester St, Newton MA 02461, United States DESCRIPTION: This is Non -Profit Origination to help Youth leader ship training, Also help Youth to do Volunteer in Local community. My Daily activity will be Record-Keeping. managing donation-- income fund and outgoing expense
CRS (Client Relationship Summary) - RIA
Click below to view Li Li's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Li 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®
Experience
Current
September 24, 2018 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 230 2nd Ave. 2nd Floor Suite 204, Waltham, MA 02451RIA
BD
CRD#: 16164
Waltham, MA
Current
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 230 2nd Ave. 2nd Floor Suite 204, Waltham, MA 02451RIA
BD
CRD#: 16164
Waltham, MA
Past
April 2, 2007 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
BRAINTREE, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Massachusetts(1/6/2012)
IAR
Massachusetts(9/24/2018)
RR
Nevada(3/17/2025)
RR
New Hampshire(1/6/2012)
RR
North Carolina(2/25/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102
Mailing Address
6400 C St Sw, Cedar Rapids, IA 52499-0001
Phone number
(727) 299-1800
Established
Delaware since 12/28/1984
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,054
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
Company Information
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164Waltham, MA 02451TRUST BUT VERIFY
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