Shuo Li
Investment Adviser Representative at LPL Enterprise, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Shuo Li is an investment adviser representative with LPL Enterprise, LLC in Cockeysville, MD, where they have been registered since 2024. They have worked in the securities industry since 2016 and have been registered with 4 firms, including Prudential Financial Planning Services and Charles Schwab & Co., Inc. They have passed 6 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in Maryland and Texas.
Office
Advisors at this office: 27
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Maryland, Texas
- Broker:
14 states and territories
California, Delaware, District of Columbia, Florida, Illinois, Indiana, Maryland, New Jersey, New York, Ohio, Pennsylvania, Texas, Virginia, Washington
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Charles Schwab & Co., Inc.Feb 2016 – Jun 2023Bethesda, MD
- Charles Schwab BankSep 2019 – Jun 2023Bethesda, MD
- Pruco Securities, LLCDec 2023 – Nov 2024Hunt Valley, MD
- THE Prudential Insurance Co. OF AmericaDec 2023 – no end date reportedHunt Valley, MD
- UnemployedJul 2023 – Oct 2023Baltimore, MD
- LPL Enterprise, LLCNov 2024 – no end date reportedFort Mill, SC
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About LPL Enterprise, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$5B–$25B
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 3,088
- Offices listed on AdvisorFinder:
- 5
- Main office:
- Fort Mill, SC
- SEC file number:
- 801-130883
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of July 15, 2026
View full firm profileOther advisors at LPL Enterprise, LLC
Showing 12 of 3,088 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Shuo Li 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.
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