Justine S. Li
Professional summary
Justine Sarah Li, who also goes by Justine Li, is a registered financial professional currently at CNR SECURITIES, LLC located in New York, New York.
Justine is registered as a RR (Registered Representative) and started their career in finance in 2025. Justine has worked at 1 firm and has passed the Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Justine Sarah Li's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 1, 2025 - Present
CNR SECURITIES, LLC
Office #1: 400 Park Avenue 6th Floor, New York, NY 10022State 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 7TO
Date: 10/1/2025
General Securities Representative ExaminationFINRA
Current Firm
CNR SECURITIES, LLC
CRD#: 18466 / SEC#: , 8-36759
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITY NATIONAL ROCHDALE HOLDINGS, LLC | MANAGING MEMBER / 100% OWNER | |
| BANUELOS, ALMA DELIA | BOARD DIRECTOR | 4530705 |
| BARTON, RICHARD JOSEPH | CHIEF COMPLIANCE OFFICER | 2040869 |
| CEPLER, MITCHELL DANIEL | CFO AND FINOP | 4554270 |
| DANIEL, JOBY SWANKUTTY | BOARD DIRECTOR | 6616727 |
| GIAQUINTO, GREGG | PRESIDENT, CHIEF EXECUTIVE OFFICER, & BOARD DIRECTOR | 3182583 |
| O'KEEFFE, IVOR PATRICK | BOARD DIRECTOR | 2397120 |
| RILEY, SHAWN DAVID | BOARD DIRECTOR | 8157413 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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