KL
Kangwei Li
CLSA AMERICAS
New York, NY 10036
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CRD#: 7412042
KL
Professional summary
Kangwei Li is a registered financial professional currently at CLSA AMERICAS, LLC located in New York, New York.
Kangwei is registered as a RR (Registered Representative) and started their career in finance in 2022. Kangwei has worked at 1 firm and has passed the Series 16 exam.
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 Kangwei 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
January 3, 2022 - Present
CLSA AMERICAS, LLC
Office #1: 1155 Avenue Of The Americas 17th Floor, New York, NY, 10036RIA
BD
CRD#: 165533
New York, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
New York Stock Exchange
Current Firm
CA
CLSA AMERICAS, LLC
CLSA AMERICAS, LLC
CRD#: 165533 / SEC#: , 8-69166
California
Registered Investment Advisory firm - SEC (1/1/2019 Approved)Connecticut
Registered Investment Advisory firm - SEC (1/14/2019 Approved)Texas
Registered Investment Advisory firm - SEC (1/28/2019 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1155 Avenue Of The Americas 17th Floor 17th Floor, New York, NY, 10036
Mailing Address
1155 Avenue Of The Americas 17th Floor, New York, NY, 10036
Phone number
(212) 549-5097
Established
Delaware since 08/15/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
61
FINRA licenses (53 States and Territories)
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.
