Li Jiang
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Li Jiang, who also goes by Lee Jiang, was a registered financial professional .
Li is a previously registered financial professional and started their career in finance in 2015. Li had worked at 5 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 27, 2024 - October 31, 2025
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
May 8, 2024 - May 8, 2024
MODERN CAPITAL SECURITIES INC.
July 22, 2022 - June 20, 2024
B. RILEY WEALTH MANAGEMENT
November 30, 2018 - June 20, 2024
B. RILEY WEALTH ADVISORS, INC.
March 23, 2017 - July 22, 2022
NATIONAL SECURITIES CORPORATION
September 2, 2015 - February 9, 2017
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 5/8/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
CRD#: 130390 / SEC#: , 8-66335
Contact information
FINRA licenses (17 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RETHINK, LLC | OWNER | |
| ATKINS, BRADLEY DALE | OWNER | 2963790 |
| SHANAHAN, DANIEL JAMES | CHIEF EXECUTIVE OFFICER | 3277912 |
| SHANAHAN, DANIEL JAMES | PRINCIPAL OPERATIONS OFFICER | 3277912 |
| SHANAHAN, DANIEL JAMES | CHIEF COMPLIANCE OFFICER | 3277912 |
| WOODWARD, CASSANDRA TALEEN | CHIEF FINANCIAL OFFICER | 2956369 |
| WOODWARD, CASSANDRA TALEEN | PRINCIPAL FINANCIAL OFFICER & FINOP | 2956369 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
