Ka Yi Li
Professional Summary
Ka Yi Li is a registered financial advisor currently at SENTRY EQUITY SERVICES, INC. located in Stevens Point, Wisconsin. Ka Yi is registered as a RR (Registered Representative) and started their career in finance in 2007. Ka Yi has worked at 7 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
RBC CAPITAL MARKETS, LLC
PORTFOLIO DESIGN SERVICES, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
BARGELD FINANCIAL
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
RBC CAPITAL MARKETS, LLC
PORTFOLIO DESIGN SERVICES, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
BARGELD FINANCIAL
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
RBC CAPITAL MARKETS, LLC
PORTFOLIO DESIGN SERVICES, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
BARGELD FINANCIAL
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
RBC CAPITAL MARKETS, LLC
PORTFOLIO DESIGN SERVICES, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
BARGELD FINANCIAL
Years of Experience
19 years in the financial services industry
Current & Past Employments
Similar Advisors
RBC CAPITAL MARKETS, LLC
PORTFOLIO DESIGN SERVICES, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
BARGELD FINANCIAL
Current Firm
SENTRY EQUITY SERVICES, INC.
Contact Information
Main Address
1800 North Point Drive, Stevens Point, WI 54481Mailing Address
1800 North Point Drive, Stevens Point, WI 54481Phone Number
(715) 346-6000Established
Delaware since 05/09/1969Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (29 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
2Similar Advisors
RBC CAPITAL MARKETS, LLC
PORTFOLIO DESIGN SERVICES, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
BARGELD FINANCIAL
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.
The advisor shows no other business activity.
Similar Advisors
RBC CAPITAL MARKETS, LLC
PORTFOLIO DESIGN SERVICES, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
BARGELD FINANCIAL
State Registrations and Notice Filings
(12/16/2020)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2023About the Series 6TO examSRO Registrations
Similar Advisors
RBC CAPITAL MARKETS, LLC
PORTFOLIO DESIGN SERVICES, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
BARGELD FINANCIAL
CRS (Client Relationship Summary) - BD
Click below to view Ka Yi Li's CRS (Customer Relationship Summary).
Similar Advisors
RBC CAPITAL MARKETS, LLC
PORTFOLIO DESIGN SERVICES, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
BARGELD FINANCIAL
