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TL

Teng Jia Jimmy Li

UNIVEST SECURITIES
NEW YORK, NY 10019
CRD#: 8240130
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TL
Teng Jia Jimmy LiUNIVEST SECURITIES

Professional summary

Teng Jia Jimmy Li is a registered financial professional currently at UNIVEST SECURITIES, LLC located in New York, New York.

Teng Jia Jimmy is registered as a RR (Registered Representative) and started their career in finance in 2026. Teng Jia Jimmy has worked at 1 firm and has passed the Series 63, Series 7TO and SIE exams.

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Teng Jia Jimmy Li's CRS (Customer Relationship Summary).
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

April 13, 2026 - Present

UNIVEST SECURITIES, LLC

Office #1: 75 Rockefeller Plaza Suite 25a, New York, NY 10019
BD
CRD#: 36105
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(5/11/2026)
RR
New Jersey
(5/11/2026)
RR
New York
(5/11/2026)
RR
Washington
(5/11/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 5/5/2026
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/13/2026
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/17/2025
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

US
UNIVEST SECURITIES, LLC
UNIVERSAL FINANCIAL GROUP | UNIVEST SECURITIES, LLC | UNIVEST SECURITIES, INC. DBA UNIVERSAL FINANCIAL GROUP | UNIVEST SECURITIES, INC. | UNIVEST SECURITIES

CRD#: 36105 / SEC#: , 8-47006

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
75 Rockefeller Plaza Suite18c, New York, NY 10019
Mailing Address
75 Rockefeller Plaza, New York, NY 10019
Phone number
(212) 343-8888
Established
New York since 01/15/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
18

FINRA licenses (26 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
COMMAS INTERNATIONAL HOLDING, LLCSHAREHOLDER
FAN, XINYUECFO7171614
GUO, YIMANAGING DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT BANKING CHIEF COMPLIANCE OFFICER6246079
JACOBSEN, BRYAN KNON INVESTMENT BANKING CHIEF COMPLIANCE OFFICER3055957
0

Disclosures

Regulatory Event2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

UNIVEST SECURITIES, LLC

CRD#: 36105New York, NY 10019

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