IF
Firm Information
Compensation
Fee-Only (AUM)
Number of Advisors
3 advisors
Number of Clients
17 clients
Average Client Portfolio
$680K average
Assets Under Management
$11.6M
Fee Structure
This document does not contain any fee information. It is a disclosure brochure for Lily Li.
Areas of Practice
Investment Management
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Advisor Information
Office location
410 Park Avenue, 12th Floor, New York, NY, 10022
Get directionsRegulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
June 2003Denied
Customer Dispute
October 2002Settled
Customer Dispute
July 2001Denied
Customer Dispute
February 1999Denied
Employment History
Current Registrations
Tigress Financial Partners LLC
September 2019 - Present · 6 yrs 4 mos
Tigress Financial Partners, LLC
November 2011 - Present · 14 yrs 2 mos
Tigress Financial Partners, LLC Broker
November 2011 - Present · 14 yrs 2 mos
Previous Registrations
Icm Capital Markets Ltd.Broker
February 2011 - July 2011 · 5 mos
Concept Capital Markets, LLCBroker
November 2010 - November 2010 · 0 mos
Sanders Morris Harris INC. Broker
July 2010 - November 2010 · 4 mos
Matrix U.s.a., LLCBroker
July 2004 - May 2007 · 2 yrs 10 mos
The Shattan Group LLCBroker
March 2003 - December 2003 · 9 mos
Wachovia Securities, INC. Broker
October 1999 - January 2003 · 3 yrs 3 mos
First Union Capital Markets CORP.Broker
February 1999 - October 1999 · 8 mos
Cibc Oppenheimer CORP.Broker
April 1998 - January 1999 · 9 mos
Axiom Capital Management, INC.Broker
April 1997 - April 1998 · 1 yr
Bear, Stearns & CO. INC. Broker
June 1995 - April 1997 · 1 yr 10 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker
July 1989 - June 1995 · 5 yrs 11 mos
State Registrations11 states
CACOCTDCFLMDMNNJNYSCTX
AdvisorBrokerBoth
Exams
No exam information available for this advisor.