Shaobo Li
CFAProfessional Summary
Shaobo Li, CFA, who also goes by Sarah Li, is a registered financial advisor currently at DOMINGUEZ WEALTH MANAGEMENT SOLUTIONS, INC. located in Williamsburg, Virginia. Shaobo is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Shaobo has worked at 1 firm and has passed the Series 65 exam.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Shaobo Li, Sarah Li
Similar Advisors
KEY INVESTMENT SERVICES LLC
AMERIPRISE FINANCIAL SERVICES, LLC
CHARLES SCHWAB & CO., INC.
RBC CAPITAL MARKETS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
KEY INVESTMENT SERVICES LLC
AMERIPRISE FINANCIAL SERVICES, LLC
CHARLES SCHWAB & CO., INC.
RBC CAPITAL MARKETS, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
KEY INVESTMENT SERVICES LLC
AMERIPRISE FINANCIAL SERVICES, LLC
CHARLES SCHWAB & CO., INC.
RBC CAPITAL MARKETS, LLC
Disclosures on record.
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.
Similar Advisors
KEY INVESTMENT SERVICES LLC
AMERIPRISE FINANCIAL SERVICES, LLC
CHARLES SCHWAB & CO., INC.
RBC CAPITAL MARKETS, LLC
Credentials
Years of Experience
8 years registered in the securities industry
Current & Past Employments
Current
Similar Advisors
KEY INVESTMENT SERVICES LLC
AMERIPRISE FINANCIAL SERVICES, LLC
CHARLES SCHWAB & CO., INC.
RBC CAPITAL MARKETS, LLC
Current Firm
DOMINGUEZ WEALTH MANAGEMENT SOLUTIONS, INC.
Contact Information
Main Address
304 Bulifants Boulevard Suite 101, Williamsburg, VA 23188Phone Number
(757) 645-9252# of Employees
2SEC notice filing (6 States and Territories)
Registered to provide investment advisory services in 6 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
659AUM (Assets Under Management)
$213,124,091Similar Advisors
KEY INVESTMENT SERVICES LLC
AMERIPRISE FINANCIAL SERVICES, LLC
CHARLES SCHWAB & CO., INC.
RBC CAPITAL MARKETS, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
KEY INVESTMENT SERVICES LLC
AMERIPRISE FINANCIAL SERVICES, LLC
CHARLES SCHWAB & CO., INC.
RBC CAPITAL MARKETS, LLC
Primary Firm SEC Registration
DOMINGUEZ WEALTH MANAGEMENT SOLUTIONS, INC.
State Registrations and Notice Filings
(10/23/2019)
(10/23/2019)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Similar Advisors
KEY INVESTMENT SERVICES LLC
AMERIPRISE FINANCIAL SERVICES, LLC
CHARLES SCHWAB & CO., INC.
RBC CAPITAL MARKETS, LLC
CRS (Client Relationship Summary) - RIA
Click below to view Shaobo Li's CRS (Customer Relationship Summary).
Similar Advisors
KEY INVESTMENT SERVICES LLC
AMERIPRISE FINANCIAL SERVICES, LLC
CHARLES SCHWAB & CO., INC.
RBC CAPITAL MARKETS, LLC