Li Kelly: LPL, Ex-NI Advisor Faces $100K-$500K Complaint

Forest Hills, New York financial advisor Li Kelly (CRD# 6115397) recently received an investor complaint alleging that her advice resulted damages as high as $500,000. Financial Industry Regulatory Authority records show that she is registered as a broker with LPL, having previously been registered with NI Advisors.

Ms. Kelly’s BrokerCheck report discloses one investor complaint. Filed in December 2024, it alleged that as a representative of NI Advisors, she breached her fiduciary duty and breached contract in connection with a corporate bond investment whose issuer declared bankruptcy. The pending complaint alleges damages between $100,000 and $500,000.

Ms. Kelly’s LinkedIn profile includes a section that describes her experiences and competencies. “Accomplished investment professional with extensive experience in client relationship building, business development, wealth planning, portfolio construction, and risk management,” it states. “Proven expertise in translating financial plans into tailored investment solutions, delivering personalized tax-efficient portfolios, and ensuring alignment with clients’ financial goals. Extensive technical knowledge in asset allocation, economic trends, and investment strategies.”

According to the Financial Industry Regulatory Authority, Li Kelly holds five years of securities industry experience. Based in Forest Hills, New York, she has been registered as a broker with LPL Enterprise since February 2025. Her past registrations include HSBC Securities (Flushing, New York; 2023-2024) and NI Advisors (Milpitas, California; 2019-2023). Her credentials include the passage of three securities industry qualifying exams: the General Securities Representative Examination, or Series 7TO; the Securities Industry Essentials Examination, or SIE; and the Uniform Combined State Law Examination, or Series 66. She is licensed in Connecticut and New York. (Information current as of February 23, 2025.)

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