Were you the victim of former Ni Advisors broker Li Kelly (CRD# 6115397)? He was registered with LPL Enterprise, LLC in Brooklyn, New York, from February to November 2025, HSBC Securities (USA) Inc. in Flushing, New York, from 2023 to 2024, and Ni Advisors in Milpitas, California, from 2019 to 2023.
Li Kelly Customer Complaints
He has been the subject of two customer complaints between 2024 and 2025, according to his CRD report:
October 2025. “Claim purports unsuitable recommendation of corporate bond in which the issuer subsequently declared bankruptcy. Bond purchases were made in 2019 by four individuals in this combined case.” The customer is seeking $1,950,000 in damages, and the case is currently pending. The complaint was regarding corporate debt losses, and it took place while he was registered with Ni Advisors.
December 2024. “Claims loss due to corporate bond investment in which issuer declared bankruptcy, claiming breach of contract, breach of fiduciary duty, vicarious liability. Investments were made in 2019-2020.” The customer is seeking $100,000 in damages, and the case is currently pending. The complaint was regarding corporate debt losses, and it took place while he was registered with Ni Advisors.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Ni Advisors may be liable for investment or other losses suffered by Li Kelly’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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