Lily Li

CRD 2689229 · Wells Fargo Advisors · Alhambra, CA

IA RegisteredBroker

Also appears in the source record as: Li Kuo; Lily Li Kuo; Li Rebecca Li; Li Lily

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 7Series 65Series 63
Registered states (5): California · Nevada · Oklahoma · Texas · Washington
Years in the industry (source record): 30
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Wells Fargo Advisors
Firm CRD: 19616
SEC number: 801-37967
Assets under management: $671.4B as of Jun 23, 2026
Website: www.twitter.com/WFINVESTING ↗
Phone: 314-875-3000
Firm location: St. Louis, MO, 63103-2205

Employment history (12)

From the source registration record · current first

Wells Fargo AdvisorsCurrent
Alhambra, CA · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Alhambra, CA · BC capacity

start not retrieved → present
Wells Fargo Investments, LLC
Pasadena, CA · IA capacity

Mar 23, 2010 → Jan 3, 2011
Wells Fargo Investments, LLC
Pasadena, CA · BC capacity

Mar 22, 2010 → Jan 3, 2011
Citigroup Global Markets Inc.
Arcadia, CA · IA capacity

May 29, 2007 → Apr 15, 2010
Citigroup Global Markets Inc.
Arcadia, CA · BC capacity

May 29, 2007 → Apr 15, 2010
Citicorp Investment Services
Arcadia, CA · IA capacity

Oct 27, 2004 → May 29, 2007
Citicorp Investment Services
Arcadia, CA · BC capacity

Oct 27, 2004 → May 29, 2007
Fmn Capital Corporation
Mission Viejo, CA · BC capacity

Jan 15, 2003 → Oct 15, 2004
Morgan Stanley Dw Inc.
Purchase, NY · BC capacity

Sep 27, 1999 → Nov 26, 2002
Ace Diversified Capital, Inc.
San Gabriel,, CA · BC capacity

May 4, 1998 → Oct 18, 1999
Capital World Securities Corp
BC capacity

Jan 4, 1996 → May 12, 1998

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2689229 ↗ FINRA BrokerCheck record for CRD 2689229 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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