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LS

Lijun Shi

UPMARKET SECURITIES
MILPITAS, CA 95035
Some features on this profile are disabled
CRD#: 6102496
LS

Professional summary

Lijun Shi, who also goes by Amy Shi, Li Jun Shi, is a registered financial professional currently at UPMARKET SECURITIES LLC located in Milpitas, California.

Lijun is registered as a RR (Registered Representative) and started their career in finance in 2013. Lijun has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Amy Shi | Li Jun Shi

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 Lijun Shi'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

March 20, 2026 - Present

UPMARKET SECURITIES LLC

Office #1: 1525 Mccarthy Boulevard #1000, Milpitas, CA 95035
BD
CRD#: 295634
MILPITAS, CA
Past

April 4, 2024 - March 6, 2026

GLOBALINK SECURITIES, INC.

BD
CRD#: 29721
PASADENA, CA
Past

April 3, 2024 - March 6, 2026

GLOBALINK WEALTH MANAGEMENT, LLC

RIA
CRD#: 323294
PASADENA, CA
Past

April 1, 2013 - January 3, 2023

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
IRVINE, CA

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
California
(3/20/2026)
RR
New York
(3/20/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/16/2022
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/8/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/8/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 3/29/2013
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

US
UPMARKET SECURITIES LLC
MEIXIN SECURITIES LLC | UPMARKET SECURITIES LLC | MX SECURITIES LLC

CRD#: 295634 / SEC#: , 8-70120

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

Main Address
1525 Mccarthy Boulevard #1000, Milpitas, CA 95035
Mailing Address
1525 Mccarthy Boulevard #1000, Milpitas, CA 95035
Phone number
+1 (888) 248-7658
Established
Delaware since 08/09/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (38 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#
UPMARKET GROUP INC.MEMBER
BRANT, DAVID ROBERTFINOP2718478
DANIELS, ROBERT MCCO, EXECUTIVE REP5437527

Disclosures

Regulatory Event2

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

UPMARKET SECURITIES LLC

CRD#: 295634Milpitas, CA 95035

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