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Xiuya Li

DAO TRADING & ADVISORY
San Jose, CA
Some features on this profile are disabled
CRD#: 7560860
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Professional summary

Xiuya Li is a registered financial advisor currently at DAO TRADING & ADVISORY INC. located in San Jose, California.

Xiuya is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Xiuya has worked at 1 firm and has passed the Series 66, Series 65, Series 3 and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

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.
I am currently a full time employee of Cadence Design Systems Inc. This is a high tech company that is not investment-related. This company is located at 2619 Seely Ave., San Jose CA 95134. I have been an engineer working in this company since 2/1/2002. Since I am full time employee in this company, I worked in this company daily. I don't do regular security trading during working hours. I am a software engineer engaging in software debugging and testing. I passed the security license exams and got my license so that I could do investment advisor related works in the future. Right now I don't have any activities related to my investment advisor license.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Xiuya 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®
None

Experience

Current

July 27, 2022 - Present

DAO TRADING & ADVISORY INC.

RIA
CRD#: 321953
San Jose, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
California
(7/27/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/3/2022
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 5/21/2022
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 3
Date: 6/11/2022
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 6/4/2022
Securities Industry Essentials Examination

Current Firm

DT
DAO TRADING & ADVISORY INC.
DAO TRADING & ADVISORY INC. | HORIZON INVESTMENT SERVICES, INC.

CRD#: 321953 / SEC#:

California
Registered Investment Advisory firm - (7/27/2022 Approved)
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Contact information

Main Address
San Jose, CA
Mailing Address
Phone number
(408) 394-6889
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

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.

Company Information

DAO TRADING & ADVISORY INC.

CRD#: 321953San Jose, CA

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