Lailai K. 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.
Lailai Kendrick Li was a registered financial professional .
Lailai is a previously registered financial professional and started their career in finance in 2021. Lailai had worked at 1 firm and has passed the Series 66, Series 7TO, SIE and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2021 - November 1, 2023
MM GLOBAL SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 10/18/2021
General Securities Representative ExaminationCurrent Firm
MM GLOBAL SECURITIES, INC.
CRD#: 2509 / SEC#: , 8-11988
Contact information
FINRA licenses (11 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
