BL
Brian Li
CTC
Chicago, IL 60605
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CRD#: 7431247
BL
Professional summary
Brian Li is a registered financial professional currently at CTC, LLC located in Chicago, Illinois.
Brian is registered as a RR (Registered Representative) and started their career in finance in 2021. Brian has worked at 1 firm and has passed the Series 57TO and SIE exams.
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 Brian 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
October 15, 2021 - Present
CTC, LLC
Office #1: 425 S. Financial Place 4th Floor, Chicago, IL 60605Office #2: 425 S. Financial Place 4th Floor, Chicago, IL 60605BD
CRD#: 44597
Chicago, IL
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
RR
Series 57TO
Date: 10/15/2021
Securities Trader ExamGeneral Industry/Product Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
CL
CTC, LLC
CTC L.L.C. | CTC, LLC
CRD#: 44597 / SEC#: , 8-50758
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
425 S. Financial Place 4th Floor, Chicago, IL 60605
Mailing Address
425 S. Financial Place 4th Floor, Chicago, IL 60605
Phone number
(312) 863-8000
Established
Illinois since 01/02/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
Documents
Disclosures
| Regulatory Event | 18 |
Red Flags
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