Jingtao Li No Longer Registered with Merrill Lynch, Pierce, Fenner & Smith

Jingtao Li (CRD #: 7757996) has voluntarily resigned from Merrill Lynch, Pierce, Fenner & Smith. This disclosure appears on his BrokerCheck record, accessed on December 16, 2025. Keep reading if you have questions regarding his alleged conduct.

Employment Separation After Allegations

On October 21, 2025, Jingtao Li voluntarily resigned following allegations that he failed to disclose an outside business activity. He has no outside business activities listed on his detailed BrokerCheck record.

3270 – Outside Business and Selling Away

FINRA Rule 3270 requires brokers to inform their firm of any outside business activities or any investments sold away from the firm. The brokerage firm may prohibit the activity if the firm believes the proposed activity may compromise the broker’s duties. Firms may also require brokers to seek approval for any outside business.

Background Information

Jingtao Li has passed the following exams:

• Series 57TO Securities Trader Exam
• Series 7TO General Securities Representative Examination
• SIE – Securities Industry Essentials Examination
• Series 63 Uniform Securities Agent State Law Examination

He has previously registered with BOFA Securities (CRD #: 283942)

Kurta Law Can Help

If you worked with Jingtao Li and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.