Xiaoyu N. Li
Professional summary
Xiaoyu Nmn 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, Series 7TO, SIE, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Xiaoyu Nmn Li's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 4, 2023 - Present
NEXT GEN ADVISORS, LLC
Office #1: 40 Wall Street, New York, NY 10005August 24, 2022 - Present
CATHAY SECURITIES, INC.
Office #1: 40 Wall Street Suite 3600, New York, NY 10005State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(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)
(6/6/2024)
(8/2/2023)
(6/5/2024)
(7/9/2024)
(10/2/2024)
(6/1/2023)
(3/23/2023)
Exams
Series 79TO
Date: 1/5/2023
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 8/24/2022
General Securities Representative ExaminationFINRA
Current Firm
NEXT GEN ADVISORS, LLC
CRD#: 326144 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 3 |
| AUM (Assets Under Management) | $ 7,000,000 |
Red Flags
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