Anna Li
Anna Li is a registered investment advisor at Citigroup Global Markets INC., based in Arcadia, CA, with 27 years of industry experience. Anna operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 56,938 clients with $47B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
CGMI offers various investment advisory programs with different fee structures. The CGMI fee is an annualized, fixed, asset-based fee of up to 2% that is negotiable based on a number of factors. Clients may also pay separate fees to third-party investment managers, generally ranging from 0.05% to 1.00% depending on the asset class and investment style. These fees do not include additional charges such as wire transfer fees, taxes, or brokerage commissions for trades executed outside of CGMI or Clearing Firm.
Location
CWM Retail, Sales, 100 South First Street, Arcadia, CA, 91006
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Regulatory History (2)
Customer Dispute
November 2017Customer Dispute
March 2016Other Business Activities
Anna is the sole owner of rental properties in Chicago, North Las Vegas, and Arcadia, CA. She spends minimal time on these investment-related activities.
Employment History
Current Registrations
Citigroup Global Markets INC.
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Previous Registrations
Cetera Investment Advisers LLC
Cetera Investment Services LLCBroker
Bbva Wealth Solutions INC.
Bbva Securities INC.Broker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
U.S. Bancorp Investments, INC.
U.S. Bancorp Investments, INC.Broker
Cco Investment Services CORP.Broker
Charter One Securities, INC.Broker
Pruco Securities CorporationBroker
State Registrations12 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.