Jian Cheng Li
Professional summary
Jian Cheng Li, who also goes by Jason Li, Jian Cheng Li, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Flushing, New York and CETERA INVESTMENT SERVICES LLC located in Flushing, New York.
Jian Cheng is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Jian Cheng has worked at 2 firms and has passed the Series 66, Series 79, SIE, Series 7, Series 27, Series 28, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Jian Cheng Li's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 21, 2014 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 42-08 Main Street, Flushing, NY 11355July 7, 2010 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 42-08 Main Street, Flushing, NY 11355August 10, 2010 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/14/2012)
(9/29/2010)
(1/25/2016)
(9/28/2015)
(2/11/2022)
(1/4/2022)
(8/10/2010)
(3/31/2021)
(4/6/2021)
(1/24/2023)
(1/23/2020)
Exams
Series 28
Date: 11/3/2018
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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