Xiaoyu Li
Professional Summary
Xiaoyu Li, who also goes by XIaoyu Nmn Li, Shell Li, is a registered financial advisor currently at NEXT GEN ADVISORS, LLC located in New York, New York and CATHAY SECURITIES, INC. located in New York, New York. Xiaoyu is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Xiaoyu has worked at 2 firms and has passed the Series 63, Series 65, Series 79TO,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Xiaoyu Nmn Li, Shell Li
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
5 years in the financial services industry
Current & Past Employments
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Current Firm
NEXT GEN ADVISORS, LLC
Contact Information
Main Address
40 Wall Street, New York, NY 10005Mailing Address
35 Peppermill Lane, Dix Hills, NY 11746Phone Number
(855) 939-3888# of Employees
4Documents
Regulatory Assets Under Management
Total Number of Accounts
5AUM (Assets Under Management)
$9,000,000Similar Advisors
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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.
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State Registrations and Notice Filings
(7/19/2024)
(7/9/2024)
(8/13/2024)
(3/23/2023)
(3/23/2023)
(3/23/2023)
(8/23/2024)
(3/23/2023)
(3/23/2023)
(7/17/2024)
(6/10/2024)
(8/2/2023)
(3/23/2023)
(7/31/2023)
(7/16/2024)
(6/21/2024)
(8/2/2023)
(7/2/2024)
(8/26/2022)
(8/26/2022)
(10/4/2023)
(3/23/2023)
(7/26/2023)
(7/26/2023)
(3/23/2023)
(8/5/2024)
(3/23/2023)
(6/4/2024)
(8/2/2023)
(6/5/2024)
(7/9/2024)
(10/2/2024)
(6/1/2023)
(3/23/2023)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Xiaoyu Li's CRS (Customer Relationship Summary).
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