Yiqun Li
Investment Adviser Representative at Morgan Stanley
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Yiqun Li is an investment adviser representative with Morgan Stanley in Pasadena, CA, where they have been registered since 2024. They have worked in the securities industry since 2020 and have been registered with 3 firms, including J.p. Morgan Private Wealth Advisors LLC and Mutual of Omaha Investor Services, Inc. They have passed 5 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 24 (general securities principal). They are registered to provide investment advice in California and Texas.
Office
Advisors at this office: 148
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- California, Texas
- Broker:
27 states and territories
Arizona, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Maryland, Massachusetts, Michigan, Minnesota, Missouri, Nevada, New Jersey, New York, North Carolina, North Dakota, Ohio, Oregon, Texas, Utah, 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.
- UC Santa BarbaraSep 2015 – Jul 2019Santa Barbara, CA
- UnemployedAug 2019 – Jan 2020Arcadia, CA
- Mutual of Omaha Investor ServicesMar 2020 – Sep 2020Los Angeles, CA
- Mutual of Omaha Insurance CompanyMar 2020 – Sep 2020Los Angeles, CA
- First Republic Securities Company, LLCJan 2021 – Sep 2023Los Angeles, CA
- First Republic Investment Management IncFeb 2021 – Sep 2023Los Angeles, CA
- UnemployedOct 2020 – Jan 2021Arcadia, CA
- J.p. Morgan Securities LLCSep 2023 – Dec 2023Los Angeles, CA
- Morgan StanleyJan 2024 – no end date reportedPasadena, CA
Official records & sources
Data as of June 28, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Morgan Stanley
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Commissions
- Fixed fee
- Performance-based fees
- Other
- Firm account minimum
- $10,000 (waivable)
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
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 23,008
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Purchase, NY
- SEC file number:
- 801-70103
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 28, 2026
View full firm profileOther advisors at Morgan Stanley
Showing 12 of 23,008 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. Yiqun 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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