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WL

William Li

EATON VANCE DISTRIBUTORS
BOSTON, MA 02109
Some features on this profile are disabled
CRD#: 5501788
WL

Professional summary

William Li is a registered financial professional currently at EATON VANCE DISTRIBUTORS, INC. located in Boston, Massachusetts.

William is registered as a RR (Registered Representative) and started their career in finance in 2009. William has worked at 4 firms and has passed the Series 63, SIE, Series 99 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 William 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

November 10, 2024 - Present

EATON VANCE DISTRIBUTORS, INC.

Office #1: One Post Office Square, Boston, MA 02109
BD
CRD#: 37731
BOSTON, MA
Past

January 19, 2021 - May 2, 2022

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

May 3, 2018 - July 2, 2019

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

October 1, 2012 - December 31, 2013

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
FOREST HILLS, NY
Past

October 28, 2009 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
LONG ISLAND CITY, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/18/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 5/3/2018
Operations Professional Examination
General Industry/Product Exam
RR
Series 6
Date: 10/27/2009
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

EV
EATON VANCE DISTRIBUTORS, INC.
EATON VANCE DISTRIBUTORS, INC. | EV DISTRIBUTORS, INC. | EATON VANCE DISTRIBUTORS, INC.

CRD#: 37731 / SEC#: , 8-47939

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
One Post Office Square, Boston, MA 02109
Mailing Address
1300 Thames Street C/o Shared Services Compliance - Registration, Baltimore, MD 21231
Phone number
(617) 482-8260
Established
Massachusetts since 07/15/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MORGAN STANLEY CAPITAL MANAGEMENT, LLCSHAREHOLDER
FAHEY, LAWRENCE LOUISPRINCIPAL OPERATIONS OFFICER2097212
FAMIGLIETTI, FRANK JDIRECTOR2702269
KASETA, LYNN MCHIEF COMPLIANCE OFFICER6451373
KUSH, ANTHONY NPRINCIPAL FINANCIAL OFFICER, AND, FINANCIAL AND OPERATIONS PRINCIPAL OFFICER7463692
LEFEVRE, BENJAMIN WILLIAMTEXAS DESIGNATED PRINCIPAL2261749
LEIMENSTOLL, ANDREW JOHNDIRECTOR4640636
MICHAUD, DAVID ANDREWDIRECTOR2730645
WITKOS, MATTHEW JOSEPHPRESIDENT, CEO, AND DIRECTOR2034689

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

EATON VANCE DISTRIBUTORS, INC.

CRD#: 37731Boston, MA 02109

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