Yi Li

CETERA INVESTMENT ADVISERS LLC

NEW YORK, NY 10022

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CRD#: 5341790

Professional summary

Yi Li, who also goes by Yi Li Gratale, Joana Li, Yi Li, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in New York, New York and CETERA INVESTMENT SERVICES LLC located in New York, New York.

Yi is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Yi has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Yi Li Gratale | Joana Li | Yi Li

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.

1. PRIVATE CLIENT ADVISOR FOR EAST WEST BANK, ADVISING CLIENTS IN BANKING RELATED SERVICES (INCLUDING DEPOSITS, CREDIT AND LENDING)

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Yi Li's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 22, 2022 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 485 Madison Ave 12th Fl Ste 1200, New York, NY 10022

RIA

CRD#: 105644

NEW YORK, NY

Current

September 22, 2022 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 485 Madison Ave 12th Fl Ste 1200, New York, NY 10022

CRD#: 15340

New York, NY

Past

January 7, 2021 - October 22, 2021

CACM

RIA

CRD#: 298587

NEW YORK, NY

Past

January 7, 2021 - October 22, 2021

CANAM INVESTOR SERVICES, LLC

CRD#: 158539

NEW YORK, NY

Past

September 21, 2018 - January 14, 2021

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK, NY

Past

April 11, 2017 - September 4, 2018

CITI PRIVATE ALTERNATIVES, LLC

CRD#: 153777

New York, NY

Past

January 21, 2016 - September 4, 2018

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

New York, NY

Past

December 7, 2015 - September 4, 2018

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

New York, NY

Past

August 22, 2007 - December 21, 2007

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

June 29, 2007 - July 6, 2007

ARDOUR CAPITAL INVESTMENTS, LLC

CRD#: 120574

LONG BEACH, NY

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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.

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

California
(9/22/2022)

Connecticut
(9/22/2022)

Florida
(9/22/2022)

Georgia
(1/29/2024)

Illinois
(1/29/2024)

Maryland
(1/29/2024)

Massachusetts
(9/22/2022)

Nevada
(2/8/2024)

New Jersey
(9/22/2022)

New York
(9/22/2022)

IAR

New York
(9/22/2022)

North Carolina
(10/2/2024)

Pennsylvania
(9/22/2022)

Texas
(9/22/2022)

IAR

Texas
(1/17/2023)

Washington
(9/22/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/8/2022

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/31/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 7/14/2017

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/7/2015

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Yi Li

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Yi Li's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CACM

CANAM INVESTOR SERVICES, LLC

HSBC SECURITIES (USA) INC.

CITI PRIVATE ALTERNATIVES, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

NYLIFE SECURITIES LLC

ARDOUR CAPITAL INVESTMENTS, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/8/2022

Series 63

Date: 12/31/2015

SIE

Date: 10/1/2018

Series 31

Date: 7/14/2017

Series 7

Date: 12/7/2015

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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