Carrie Li
Professional summary
Carrie Li is a registered financial professional currently at CASTLEOAK SECURITIES, LP located in New York, New York.
Carrie is registered as a RR (Registered Representative) and started their career in finance in 2024. Carrie has worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Carrie Li's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 16, 2024 - Present
CASTLEOAK SECURITIES, LP
Office #1: 200 Vesey Street Fl 04, New York, NY 10281State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/1/2024)
Exams
Series 79TO
Date: 2/16/2024
Investment Banking Registered Representative ExaminationFINRA
Current Firm
CASTLEOAK SECURITIES, LP
CRD#: 125334 / SEC#: , 8-65786
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES, DAVID RODERICK | CHIEF EXECUTIVE OFFICER | 2389684 |
| CASTLEOAK MANAGEMENT, LLC | GENERAL PARTNER | |
| GOMEZ, LUIS J | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4974439 |
| IPPOLITO, PHILIP | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1072137 |
| SKINNER, JEFFREY THOMAS | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4078336 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
Red Flags
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