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Li Ping Guay

Investment Adviser Representative at STRAIT & SOUND

Renton, WACRD #4058377Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
23 yrs
States Registered
2 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 2 states
TexasWashington
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 9/10/2003
Series 63
Uniform Securities Agent State Law Examination
Passed 3/6/2000
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 1/5/2004
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 12/31/2003
Series 7
General Securities Representative Examination
Passed 2/10/2000

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
$0 - $300,0001.50%
$300,000 - $600,0001.30%
$600,000 - $1,200,0001.10%
$1,200,000 - $2,400,0001.00%
$2,400,000 - $5,000,0000.90%
$5,000,000 - $10,000,0000.80%
Over $10,000,000
Account minimum: $500,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

STRAIT & SOUND Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

CHARLES SCHWAB & CO., INC.
3/14/20008/10/2010BELLEVUE, WA

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Li Ping Guay has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Li Ping Guay - Financial Advisor in Renton, WA | AdvisorFinder