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JL

Joey Zhuo Ying Li

Some features on this profile are disabled
CRD#: 7577584
JL

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Joey Zhuo Ying Li, who also goes by Joeyzhuoying Li, was a registered financial professional .

Joey Zhuo Ying is a previously registered financial professional and started their career in finance in 2022. Joey Zhuo Ying had worked at 2 firms and has passed the Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joeyzhuoying Li

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 24, 2024 - August 16, 2024

TIDAL PARTNERS

BD
CRD#: 323885
PALO ALTO, CA
Past

July 31, 2022 - September 12, 2023

MOELIS & COMPANY LLC

BD
CRD#: 145115
NEW YORK, NY

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 79TO
Date: 7/30/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/14/2022
Securities Industry Essentials Examination

Current Firm

TP
TIDAL PARTNERS
TIDAL PARTNERS | TIDAL PARTNERS, LLC

CRD#: 323885 / SEC#: , 8-71026

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
260 Homer Avenue Suite 101, Palo Alto, CA 94301
Mailing Address
260 Homer Avenue Suite 101, Palo Alto, CA 94301
Phone number
(650) 748-9021
Established
Delaware since 08/01/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
TIDAL PARTNERS HOLDINGS LPMANAGER AND SOLE MEMBER
HANDLER, DAVID ALANCO-FOUNDER1824416
HYON, ELIZABETH SUSANCHIEF OPERATING OFFICER AND GENERAL COUNSEL
NEEQUAYE, DAVID K.CO-FOUNDER/CCO4840648
ROCHE, PASCALFINOP/PFO/POO5920968

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

TIDAL PARTNERS

CRD#: 323885

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