DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Junia Pan Li
Feed of 09/15/2026
Also filed as Junia Pan Li
At current firm
1 y
since Oct 9, 2024
In the industry
14 y
since Jan 1, 2012 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- RBC Capital Markets, LLC national BD currentsince Oct 9, 2024 · Pasadena, Ca
- Hsbc Securities (USA) Inc. BD affiliatedDec 13, 2023 to Jul 26, 2024 · San Francisco, Ca
- Capital Group Private Client Services, Inc. independent RIAJul 1, 2021 to Jan 25, 2023 · Los Angeles, Ca
- Capital Bank And Trust Company asset managerFeb 1, 2021 to Jul 1, 2021 · San Francisco, Ca
- Hsbc Securities (USA) Inc. BD affiliatedOct 9, 2017 to Jan 25, 2021 · San Francisco, Ca
- J.P. Morgan Securities LLC wirehouseDec 15, 2014 to Jul 21, 2017 · Pasadena, Ca
- J.P. Morgan Securities LLC wirehouseOct 1, 2012 to Sep 25, 2013 · Pasadena, Ca
- Chase Investment Services Corp. formerMay 31, 2012 to Oct 1, 2012 · Pasadena, Ca
Moves
a registration end followed by a registration begin elsewhere
- Hsbc Securities (USA) Inc. to RBC Capital Markets, LLCleft Jul 26, 2024, registered Oct 9, 2024 (75 days) · Affiliated broker-dealer or bank to another
- Capital Group Private Client Services, Inc. to Hsbc Securities (USA) Inc.left Jan 25, 2023, registered Dec 13, 2023 (322 days) · RIA to affiliated broker-dealer or bank
- Capital Bank And Trust Company to Capital Group Private Client Services, Inc.left Jul 1, 2021, registered Jul 1, 2021 (0 days) · corporate re-registration, not a move
- Hsbc Securities (USA) Inc. to Capital Bank And Trust Companyleft Jan 25, 2021, registered Feb 1, 2021 (7 days) · Affiliated broker-dealer or bank to independent RIA
- J.P. Morgan Securities LLC to Hsbc Securities (USA) Inc.left Jul 21, 2017, registered Oct 9, 2017 (80 days) · Other
- Chase Investment Services Corp. to J.P. Morgan Securities LLCleft Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
Signals
- Junia Pan Li left Hsbc Securities (Usa) Inc. for Rbc Capital Markets, Llc (registered 2024-10-09)Jul 26, 2024 · Advisor changed firm · fact
- Junia Pan Li left Capital Group Private Client Services, Inc. for Hsbc Securities (Usa) Inc. (registered 2023-12-13)Jan 25, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address