Sicheng Li
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.
Sicheng Li, who also goes by Max Li, Maxwell Li, was a registered financial professional .
Sicheng is a previously registered financial professional and started their career in finance in 2018. Sicheng had worked at 3 firms and has passed the Series 63, Series 7TO, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 2020 - November 4, 2025
ARDEA PARTNERS LP
March 22, 2019 - July 28, 2020
GOLDMAN SACHS & CO. LLC
August 7, 2018 - February 19, 2019
WELLS FARGO SECURITIES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 1/26/2024
General Securities Representative ExaminationCurrent Firm
ARDEA PARTNERS LP
CRD#: 283558 / SEC#: , 8-69761
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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