Nan 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.
Nan Li was a registered financial professional .
Nan is a previously registered financial professional and started their career in finance in 2007. Nan had worked at 5 firms and has passed the SIE, Series 7, Series 79 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2015 - November 30, 2016
RAINE SECURITIES LLC
July 29, 2013 - May 12, 2015
MOELIS & COMPANY LLC
April 14, 2011 - July 28, 2011
GFI SECURITIES LLC
August 4, 2008 - July 9, 2010
KELLOGG CAPITAL MARKETS, LLC
July 9, 2007 - March 20, 2008
KELLOGG CAPITAL GROUP LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 9/8/2008
Limited Representative-Equity Trader ExamCurrent Firm
RAINE SECURITIES LLC
CRD#: 137873 / SEC#: , 8-67121
Contact information
FINRA licenses (27 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAINE ADVISORS LLC | OWNER | |
| CHIANESE, ALFRED JOSEPH III | CHIEF OPERATING OFFICER | 6339436 |
| DOHERTY, JAMES HUGH | PRINCIPAL OPERATIONS OFFICER | 4197747 |
| GARDNER, BRANDON WADE | PRESIDENT | 5767814 |
| RAVITCH, JOSEPH | CO-CHIEF EXECUTIVE OFFICER | 2504532 |
| RISHER, ANGELA RENEE | CHIEF COMPLIANCE OFFICER | 6676957 |
| SHAW, ANTHONY | FINOP, PRINCIPAL FINANCIAL OFFICER | 7338445 |
| SINE, JEFFREY ALAN | CO-CHIEF EXECUTIVE OFFICER | 1557736 |
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.
