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ML

Mingyang Li

PAULSON INVESTMENT COMPANY LLC
Beverly Hills, CA 90210
Some features on this profile are disabled
CRD#: 6446312
ML

Professional summary

Mingyang Li, who also goes by Tony Li, is a registered financial professional currently at PAULSON INVESTMENT COMPANY LLC located in Beverly Hills, California.

Mingyang is registered as a RR (Registered Representative) and started their career in finance in 2015. Mingyang has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tony 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.
Harvest Realty Development, Inc., non-investment, Pasadena CA, Real Estate Firm, Real Estate sales, 3/2023, 1-2 hrs/mo, 0 during trading Lihao Realty Inc., non-investment, Yorba Linda, CA, RealEstate, Owner, March 2024, 1-2 hrs/week, Uber Technologies, non-investment, SF CA, Driver, 3/24, varies

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mingyang 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

January 18, 2022 - Present

PAULSON INVESTMENT COMPANY LLC

Office #1: 9171 Wilshire Blvd. Ste. 500, Beverly Hills, CA 90210
BD
CRD#: 5670
Beverly Hills, CA
Past

April 26, 2022 - December 31, 2024

PAULSON INVESTMENT ADVISORS, LLC

RIA
CRD#: 304328
PORTLAND, OR
Past

February 2, 2016 - July 16, 2021

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
ARCADIA, CA
Past

February 2, 2016 - July 16, 2021

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
ARCADIA, CA
Past

March 27, 2015 - January 8, 2016

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
IRVINE, CA
Past

February 25, 2015 - January 8, 2016

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
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
(1/19/2022)
RR
Connecticut
(6/21/2022)
RR
Illinois
(8/8/2022)
RR
Maryland
(6/22/2022)
RR
New Jersey
(9/26/2022)
RR
New York
(6/30/2022)
RR
North Carolina
(6/27/2022)
RR
Pennsylvania
(6/24/2022)
RR
Texas
(6/25/2022)
RR
Virginia
(6/21/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/20/2015
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/25/2015
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

PI
PAULSON INVESTMENT COMPANY LLC
PAULSON INVESTMENT COMPANY LLC | PAULSON WEALTH ADVISORS | PAULSON INVESTMENT COMPANY, LLC | PAULSON INVESTMENT COMPANY, INC.

CRD#: 5670 / SEC#: 801-107194, 8-26807

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

Main Address
10220 Sw Greenburg Rd Suite 465, Lake Oswego, OR 97035
Mailing Address
10220 Sw Greenburg Rd Suite 380, Portland, OR 97223
Phone number
(503) 243-6000
Established
Delaware since 03/23/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# 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)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
PAULSON CAPITAL HOLDING COMPANY, LLCOWNER
CLARK, CHRISTOPHER STEVENCHAIRMAN, ELECTED MANAGER1952666
PARIGIAN, THOMAS STEWARTELECTED MANAGER1398840
SETTEDUCATI, ROBERT JOSEPHELECTED MANAGER AND DIRECTOR OF BUSINESS DEVELOPMENT1352722
DAVIS, TRENT DONALDCHIEF EXECUTIVE OFFICER2137171
RASMUSSEN, KATHLEEN HATLELICHIEF COMPLIANCE OFFICER2608755
WINKS, MALCOLM ALEXANDERPRESIDENT AND CFO/FINOP5153752

Disclosures

Regulatory Event35
Civil Event1
Arbitration8
Bond1

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

PAULSON INVESTMENT COMPANY LLC

CRD#: 5670Beverly Hills, CA 90210

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