HL
Hiu Fai F. Li
EDDID SECURITIES USA
Central,
Some features on this profile are disabled
CRD#: 5514667
HL
Professional summary
Hiu Fai Fai Li, who also goes by Hiu Fai Li, Tom Li, is a registered financial professional currently at EDDID SECURITIES USA INC. .
Hiu Fai is registered as a RR (Registered Representative) and started their career in finance in 2008. Hiu Fai has worked at 3 firms and has passed the Series 63, Series 99TO, Series 7TO, Series 57TO, Series 79TO, SIE, Series 7, Series 24, Series 14, Series 10, Series 4, Series 9 and Series 27 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Hiu Fai Li | Tom 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Hiu Fai Fai 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®
NoneExperience
Current
August 2, 2019 - Present
EDDID SECURITIES USA INC.
Office #1: 21/f, Citic Tower 1 Tim Mei Avenue, CentralOffice #2: 40 Wall Street Suite 1606, New York, NY 10005BD
CRD#: 299423
Central,
Past
August 24, 2011 - July 25, 2017
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
July 30, 2008 - September 2, 2009
INTERACTIVE BROKERS LLC
BD
CRD#: 36418
ADMIRALTY,
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Arizona(6/15/2022)
RR
California(1/26/2021)
RR
Colorado(11/4/2020)
RR
Connecticut(1/26/2021)
RR
Delaware(1/26/2021)
RR
District of Columbia(11/24/2020)
RR
Florida(1/4/2021)
RR
Georgia(1/26/2021)
RR
Hawaii(6/30/2022)
RR
Idaho(6/7/2022)
RR
Illinois(7/18/2022)
RR
Indiana(7/21/2022)
RR
Iowa(6/8/2022)
RR
Kentucky(6/13/2022)
RR
Louisiana(6/13/2022)
RR
Maryland(10/26/2020)
RR
Massachusetts(8/30/2022)
RR
Michigan(7/20/2022)
RR
Minnesota(7/29/2022)
RR
Mississippi(6/8/2022)
RR
Missouri(10/17/2022)
RR
Montana(6/15/2022)
RR
Nebraska(6/17/2022)
RR
Nevada(7/11/2022)
RR
New Hampshire(8/30/2022)
RR
New Jersey(2/11/2021)
RR
New York(10/29/2020)
RR
North Carolina(6/13/2022)
RR
North Dakota(7/7/2022)
RR
Ohio(10/22/2020)
RR
Oklahoma(6/13/2022)
RR
Oregon(7/22/2024)
RR
Pennsylvania(6/9/2022)
RR
Rhode Island(6/24/2022)
RR
South Dakota(10/7/2025)
RR
Tennessee(6/28/2022)
RR
Texas(1/26/2021)
RR
Utah(6/6/2022)
RR
Virginia(7/2/2022)
RR
Washington(6/6/2022)
RR
West Virginia(8/18/2022)
RR
Wisconsin(7/7/2022)
RR
Wyoming(1/26/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 3/2/2021
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 79TO
Date: 6/2/2020
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
ES
EDDID SECURITIES USA INC.
EDDID SECURITIES USA INC.
CRD#: 299423 / SEC#: , 8-70253
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
40 Wall Street Suite 1606, New York, NY 10005
Mailing Address
40 Wall Street Suite 1606, New York, NY 10005
Phone number
(212) 363-6888
Established
Delaware since 10/26/2018
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (43 States and Territories)
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.
