Ka Yi Li

SENTRY EQUITY SERVICES

STEVENS POINT, WI 54481

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CRD#: 5386041

Professional summary

Ka Yi Li is a registered financial professional 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.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ka Yi 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®

None

Experience

Current

December 16, 2020 - Present

SENTRY EQUITY SERVICES, INC.

Office #1: 1800 North Point Drive, Stevens Point, WI 54481

CRD#: 5069

STEVENS POINT, WI

Past

June 26, 2018 - October 10, 2019

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

OAKLAND, CA

Past

June 26, 2018 - October 10, 2019

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

OAKLAND, CA

Past

June 1, 2016 - June 20, 2018

TRANSAMERICA RETIREMENT ADVISORS, LLC

RIA

CRD#: 107319

San Ramon, CA

Past

June 1, 2016 - June 20, 2018

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

HARRISON, NY

Past

April 5, 2013 - May 9, 2016

ALIGHT FINANCIAL ADVISORS, LLC

RIA

CRD#: 158744

SACRAMENTO, CA

Past

November 15, 2012 - May 9, 2016

ALIGHT FINANCIAL SOLUTIONS, LLC

CRD#: 36509

SACRAMENTO, CA

Past

October 8, 2007 - June 1, 2012

VOYA RETIREMENT ADVISORS, LLC

CRD#: 3989

PLEASANTON, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
(12/16/2020)

Exams

State Security Law Exam

IAR

Series 66

Date: 11/24/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/15/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/5/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/31/2008

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SENTRY EQUITY SERVICES, INC.

CRD#: 5069 / SEC#: , 8-15078

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

1800 North Point Drive, Stevens Point, WI 54481

Mailing Address

1800 North Point Drive, Stevens Point, WI 54481

Phone number

(715) 346-6000

Established

Delaware since 05/09/1969

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (49 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
SENTRY INSURANCE A MUTUAL CO	SHAREHOLDER
DANCZYK, CARLA MARIE	CHIEF COMPLIANCE OFFICER	4711455
GWIDT, PAUL MATTHEW	TREASURER	6777031
HYLAND, JOHN	PRESIDENT	7741049
KOVAC, TIMOTHY KENNETH	SECRETARY	7622917
MCPARTLAND, PETER GEORGE	DIRECTOR/CHAIRMAN OF THE BOARD	6109531
NIMM, SEAN	DIRECTOR	7978565

Disclosures

Regulatory Event

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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Ka Yi Li

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TRANSAMERICA RETIREMENT ADVISORS, LLC

TRANSAMERICA INVESTORS SECURITIES, LLC

ALIGHT FINANCIAL ADVISORS, LLC

ALIGHT FINANCIAL SOLUTIONS, LLC

VOYA RETIREMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/24/2012

Series 63

Date: 8/15/2007

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/5/2007

Series 24

Date: 5/31/2008

FINRA

Current Firm

SENTRY EQUITY SERVICES, INC.

Contact information

FINRA licenses (49 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SENTRY EQUITY SERVICES, INC.

TRUST BUT VERIFY

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