Guang Li

SOUTHMORE FINANCIAL ADVISORY LLC

Houston, TX

Some features on this profile are disabled

CRD#: 7812874

Professional summary

Guang Li, who also goes by George Li, is a registered financial advisor currently at SOUTHMORE FINANCIAL ADVISORY LLC located in Houston, Texas.

Guang is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Guang has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

George 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.

Holman Opportunity Investment LLC Not investment related; inactive 310 Glenwood Drive, Houston, TX 77007 Holding of real estate investments CEO January 2020 Zero hours per month; zero hours during trading hours Houston Tsinghua Alumni Association Not investment related 8911 Bellaire Blvd. Houston, TX 77036 Nonprofit alumni association Member; non-officer, no duties 09/1997 Zero hours per month; zero hours during trading hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Guang 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

November 2, 2023 - Present

SOUTHMORE FINANCIAL ADVISORY LLC

RIA

CRD#: 328426

Houston, TX

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

Texas
(11/2/2023)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/26/2023

Uniform Investment Adviser Law Examination

Current Firm

SOUTHMORE FINANCIAL ADVISORY LLC

SOUTHMORE FINANCIAL ADVISORY LLC | SOUTHMORE OPPORTUNITY INVESTMENT LLC

CRD#: 328426 / SEC#:

Texas

Registered Investment Advisory firm - (11/2/2023 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Houston, TX

Mailing Address

Phone number

(832) 696-8866

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	5
AUM (Assets Under Management)	$ 1,229,746

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Guang Li

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Guang Li's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOUTHMORE FINANCIAL ADVISORY LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/26/2023

Current Firm

SOUTHMORE FINANCIAL ADVISORY LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SOUTHMORE FINANCIAL ADVISORY LLC

TRUST BUT VERIFY

Similar Advisors