Jennifer Li: Misrepresentation Complaint Against Agile Advisor

Atlanta, Georgia financial advisor Jennifer Li (CRD# 4871851) allegedly misrepresented material facts, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker with Arkadios Capital and an investment advisor with Arkadios Wealth Advisors, doing business as Agile Advisory.

Ms. Li’s BrokerCheck report discloses one investor complaint. Filed in February 2026, it alleges that as a representative of Emerson Equity, she made misrepresentations and omissions of material facts, failed to meet her suitability obligations, violated California’s blue sky law, breached her fiduciary duty, acted negligently, and breached contract in connection with a real estate investment. The pending complaint alleges unspecified damages.

For reference, negligence denotes a broker and/or investment advisor’s failure to uphold their duty of care to their clients. In broad terms, that failure takes the form of an advisor doing something that a reasonably prudent advisor would not do under the same circumstances, or not doing something that a reasonably prudent advisor would do. Recommending unsuitable securities, failing to diversify a portfolio, performing inadequate or incomplete due diligence on an investment: all of these can be forms of negligence. As with other forms of broker and advisor misconduct, representatives who engage in negligence may be held liable in the event of losses.

Securities industry rules and standard prohibit brokers like Ms. Li from making misrepresentations of material facts regarding the investments they recommend to their customers. Perhaps the most pertinent regulation regarding misrepresentation is FINRA Rule 2020, which stipulates that no broker shall “effect any transaction in, or induce the purchase or sale of, any security by means of any manipulative, deceptive or other fraudulent device or contrivance.” A material fact is a piece of information that would pose a significant consideration to investors considering a product or strategy, such as whether their principal investment would be protected. Brokers who misrepresent investments may be liable in the event of losses.

According to the Financial Industry Regulatory Authority, Jennifer Li holds six years of securities industry experience. Based in Atlanta, Georgia, she has been Arkadios Capital since 2023 and an investment advisor with Arkadios Wealth Advisors since 2025, doing business as Agile Advisory. She was previously registered with Emerson Equity from 2019 until 2023. Her credentials include the passage of four securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the Uniform Combined State Law Examination, or Series 66; the Uniform Securities Agent State Law Examination, or Series 63; and the General Securities Representative Examination, or Series 7TO. She holds 20 state licenses (Information current as of March 14, 2026.)

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