Chen Li

GOALVEST ADVISORY LLC

New York, NY 10007

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CRD#: 7178292

Professional summary

Chen Li is a registered financial advisor currently at GOALVEST ADVISORY LLC located in New York, New York.

Chen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Chen has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Chen Li's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 22, 2024 - Present

GOALVEST ADVISORY LLC

Office #1: 4 World Trade Center, Suite 2908, New York, NY 10007

RIA

CRD#: 285374

New York, NY

Past

August 25, 2021 - March 14, 2024

GOLDMAN SACHS WEALTH SERVICES, L.P.

RIA

CRD#: 106693

Cohoes, NY

Past

October 28, 2019 - March 14, 2024

GOLDMAN SACHS & CO. LLC

CRD#: 361

COHOES, NY

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".

GOALVEST ADVISORY LLC

CRD#: 285374 / SEC#: 801-116790

RIA

Registered Investment Advisory firm - (6/21/2019 Approved)

New York

Registered Investment Advisory firm - (6/25/2019 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/26/2019 Terminated)

Texas

Registered Investment Advisory firm - (6/25/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

New York
(3/22/2024)

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

State Security Law Exam

IAR

Series 66

Date: 8/21/2021

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/17/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/28/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/27/2019

Securities Industry Essentials Examination

Current Firm

GOALVEST ADVISORY LLC

CRD#: 285374 / SEC#: 801-116790

RIA

Registered Investment Advisory firm - (6/21/2019 Approved)

New York

Registered Investment Advisory firm - (6/25/2019 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/26/2019 Terminated)

Texas

Registered Investment Advisory firm - (6/25/2019 Terminated)

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Contact information

Main Address

4 World Trade Center, Suite 2908, New York, NY 10007

Mailing Address

Phone number

(646) 941-8458

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FINAL FORM ADV PART 2A GOALVEST ADVISORY LLC 3.28.25 FILED (9/22/2025)

Regulatory assets under management

Total Number of Accounts	1,139
AUM (Assets Under Management)	$ 628,348,337

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.

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Advisor Monitoring

Firm Stability Insights

Chen Li

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Chen Li's CRS (Customer Relationship Summary).

Certified licenses

Experience

GOLDMAN SACHS WEALTH SERVICES, L.P.

GOLDMAN SACHS & CO. LLC

Primary Firm SEC Registration

GOALVEST ADVISORY LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/21/2021

Series 63

Date: 11/17/2019

Series 7TO

Date: 10/28/2019

SIE

Date: 9/27/2019

Current Firm

GOALVEST ADVISORY LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GOALVEST ADVISORY LLC

TRUST BUT VERIFY

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