YL
Yuling Li
MOOMOO FINANCIAL
Dallas, TX 75251
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CRD#: 6824442
YL
Professional summary
Yuling Li is a registered financial professional currently at MOOMOO FINANCIAL INC. located in Dallas, Texas.
Yuling is registered as a RR (Registered Representative) and started their career in finance in 2017. Yuling has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Yuling Li's 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®
NoneExperience
Current
March 8, 2022 - Present
MOOMOO FINANCIAL INC.
Office #1: 12750 Merit Drive Suite 450, Dallas, TX 75251BD
CRD#: 283078
Dallas, TX
Past
September 22, 2020 - March 8, 2022
ALLY INVEST SECURITIES LLC
BD
CRD#: 136131
Lewisville, TX
Past
August 9, 2017 - April 4, 2019
TD AMERITRADE, INC.
BD
CRD#: 7870
Southlake, TX
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
Alabama(10/13/2022)
RR
Alaska(10/13/2022)
RR
Arizona(10/13/2022)
RR
Arkansas(10/13/2022)
RR
California(3/8/2022)
RR
Colorado(10/13/2022)
RR
Connecticut(10/13/2022)
RR
Delaware(10/13/2022)
RR
District of Columbia(10/13/2022)
RR
Florida(10/13/2022)
RR
Georgia(10/13/2022)
RR
Hawaii(10/13/2022)
RR
Idaho(10/13/2022)
RR
Illinois(10/13/2022)
RR
Indiana(10/13/2022)
RR
Iowa(10/13/2022)
RR
Kansas(10/13/2022)
RR
Kentucky(10/13/2022)
RR
Louisiana(10/13/2022)
RR
Maine(10/13/2022)
RR
Maryland(10/13/2022)
RR
Massachusetts(10/13/2022)
RR
Michigan(10/13/2022)
RR
Minnesota(10/13/2022)
RR
Mississippi(10/13/2022)
RR
Missouri(10/13/2022)
RR
Montana(10/13/2022)
RR
Nebraska(10/13/2022)
RR
Nevada(10/13/2022)
RR
New Hampshire(10/13/2022)
RR
New Jersey(10/13/2022)
RR
New Mexico(10/13/2022)
RR
New York(10/13/2022)
RR
North Carolina(10/13/2022)
RR
North Dakota(10/13/2022)
RR
Ohio(10/14/2022)
RR
Oklahoma(10/13/2022)
RR
Oregon(10/13/2022)
RR
Pennsylvania(10/13/2022)
RR
Puerto Rico(10/13/2022)
RR
Rhode Island(10/13/2022)
RR
South Carolina(10/13/2022)
RR
South Dakota(10/13/2022)
RR
Tennessee(10/13/2022)
RR
Texas(3/8/2022)
RR
Utah(10/13/2022)
RR
Vermont(10/13/2022)
RR
Virgin Islands(10/13/2022)
RR
Virginia(10/13/2022)
RR
Washington(10/13/2022)
RR
West Virginia(10/13/2022)
RR
Wisconsin(10/13/2022)
RR
Wyoming(10/13/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MF
MOOMOO FINANCIAL INC.
FUTU INC | MOOMOO FINANCIAL INC. | MOOMOO FINANCIAL INC
CRD#: 283078 / SEC#: , 8-69739
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
185 Hudson St 5 Harborside, Suite 2603, Jersey City, NJ 07311
Mailing Address
185 Hudson St 5 Harborside, Suite 2603, Jersey City, NJ 07311
Phone number
(650) 798-5700
Established
Delaware since 12/17/2015
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FUTU US INC | SHAREHOLDER | |
| CHAN, WING KEI | MANAGING DIRECTOR | 6616753 |
| DU, SHUANG | HEAD OF US OPERATIONS | 5005050 |
| MCDONALD, NEIL ANTHONY | CEO | 1764574 |
| PALMER, NATHAN TYLER | PRESIDENT | 5805173 |
| PARSONS, DARREN JAMES | CHIEF OPERATIONS OFFICER | 2382680 |
| SHARMA, VICKRAMJIT | CHIEF LEGAL OFFICER | 7186502 |
| SHEN, QIUFANG | HEAD OF FINANCE | 3158926 |
| STIFELMAN, GLEN ROBERT | CHIEF COMPLIANCE OFFICER | 1699013 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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
MOOMOO FINANCIAL INC.
CRD#: 283078Dallas, TX 75251TRUST BUT VERIFY
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