SL
Shaobo Li
DOMINGUEZ WEALTH MANAGEMENT SOLUTIONS
WILLIAMSBURG, VA 23188
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CRD#: 7037407
SL
Professional 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.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sarah Li
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) - RIA
Click below to view Shaobo 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®
Experience
Current
October 23, 2019 - Present
DOMINGUEZ WEALTH MANAGEMENT SOLUTIONS, INC.
Office #1: 304 Bulifants Boulevard Suite 101, Williamsburg, VA 23188RIA
CRD#: 173083
WILLIAMSBURG, VA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
DW
DOMINGUEZ WEALTH MANAGEMENT SOLUTIONS, INC.
DOMINGUEZ WEALTH MANAGEMENT SOLUTIONS, INC.
CRD#: 173083 / SEC#: 801-121914
RIA
Registered Investment Advisory firm - (7/29/2021 Approved)North Carolina
Registered Investment Advisory firm - (10/4/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - (9/27/2021 Terminated)Texas
Registered Investment Advisory firm - (9/24/2021 Terminated)Virginia
Registered Investment Advisory firm - (9/24/2021 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Texas(10/23/2019)
IAR
Virginia(10/23/2019)
Current Firm
DW
DOMINGUEZ WEALTH MANAGEMENT SOLUTIONS, INC.
DOMINGUEZ WEALTH MANAGEMENT SOLUTIONS, INC.
CRD#: 173083 / SEC#: 801-121914
RIA
Registered Investment Advisory firm - (7/29/2021 Approved)North Carolina
Registered Investment Advisory firm - (10/4/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - (9/27/2021 Terminated)Texas
Registered Investment Advisory firm - (9/24/2021 Terminated)Virginia
Registered Investment Advisory firm - (9/24/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
304 Bulifants Boulevard Suite 101, Williamsburg, VA 23188
Mailing Address
Phone number
(757) 645-9252
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 603 |
| AUM (Assets Under Management) | $ 186,553,574 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
DOMINGUEZ WEALTH MANAGEMENT SOLUTIONS, INC.
CRD#: 173083Williamsburg, VA 23188TRUST BUT VERIFY
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