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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

LILY LI

Advisor at WELLS FARGO ADVISORS

PASADENA, CA | ALHAMBRA, CA | CHINO HILLS, CA

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Search this name across graphsid dfx:ria:553c61c6-e6e2-ec54-2349-7f6f13cc67e8

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 27, 2004 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WELLS FARGO ADVISORS
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 31, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Jan 31, 1996
First registration: Oct 27, 2004
Dual registered: yes, broker-dealer
Other names: LI LILY|LI REBECCA LI|LI KUO|LILY LI KUO|LILY LI KUO|LI REBECCA LI
IAPD individual key: 2689229

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WELLS FARGO ADVISORS	Wirehouse	Jan 3, 2011	n/a	yes	ALHAMBRA, CA\|PASADENA, CA\|CHINO HILLS, CA	Current employment
WELLS FARGO INVESTMENTS, LLC	n/a	Mar 23, 2010	Jan 3, 2011	no	ALHAMBRA, CA\|SAN GABRIEL, CA\|ALHAMBRA, CA\|ALHAMBRA, CA\|SAN GABRIEL, CA\|PASADENA, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	May 29, 2007	Apr 15, 2010	no	MONROVIA, CA\|Arcadia, CA\|PASADENA, CA\|MONROVIA, CA\|Arcadia, CA\|Arcadia, CA	Previous registration
CITICORP INVESTMENT SERVICES	n/a	Oct 27, 2004	May 29, 2007	no	ARCADIA, CA\|ARCADIA, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WELLS FARGO INVESTMENTS, LLC	WELLS FARGO ADVISORS	Jan 3, 2011	Jan 3, 2011	0	Bulk transfer	Other
CITIGROUP GLOBAL MARKETS INC.	WELLS FARGO INVESTMENTS, LLC	Apr 15, 2010	Mar 23, 2010	-23	Firm change	Other
CITICORP INVESTMENT SERVICES	CITIGROUP GLOBAL MARKETS INC.	May 29, 2007	May 29, 2007	0	Bulk transfer	Other

Relationships

Registered with (4)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Jan 3, 2011 to presentfactForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Mar 23, 2010 to Jan 3, 2011factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
May 29, 2007 to Apr 15, 2010factForm ADV
→ CITICORP INVESTMENT SERVICESRegistered adviserregistration: previous registration
Oct 27, 2004 to May 29, 2007factForm ADV

Dated events

No dated event names this entity yet.