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Current Employers
Transglobal Advisory, Llc

185 W Chestnut Ave, Monrovia, CA 91016 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2019-08-20
  • CA RA
    APPROVED
    Since 2019-08-20

Branch Locations

185 W Chestnut Ave, Monrovia, CA 91016 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Griffinest Asia Securities, Llc Pasadena CA 07/2015 10/2017
Bank Of The West Arcadia CA 01/2017 05/2019
Transglobal Monrovia CA 05/2019 Present
Transglobal Advisory, Llc Monrovia CA 06/2019 Present
Globalink Securities, Inc. Pasadena, Ca CA 06/2019 Present
Transglobal Insurance Agency, Inc. Monrovia CA 05/2019 Present
  • 07/2015 → 10/2017
    Griffinest Asia Securities, Llc
    Pasadena, CA
  • 01/2017 → 05/2019
    Bank Of The West
    Arcadia, CA
  • 05/2019 → Present
    Transglobal
    Monrovia, CA
  • 06/2019 → Present
    Monrovia, CA
  • 06/2019 → Present
    Globalink Securities, Inc.
    Pasadena, Ca, CA
  • 05/2019 → Present
    Transglobal Insurance Agency, Inc.
    Monrovia, CA
Other Businesses

1. Name: TransGlobal Holding Company Address: 185 W. Chestnut Ave., Monrovia, CA 91016 Nature: Fixed insurance general agency Position: Independent Insurance Agent Start Date:05/06/2019 Hours: 1 0 hours per month Duty: Sell fixed insurance and fixed annuities products. 2. Name: TransGlobal Advisory, LLC Address: 185 W. Chestnut Ave., Monrovia, CA 91016 Nature: Registered Investment Adviser Position: Investment Adviser Representative Start Date:06/07/2019 Hours: 10 hours per month Duty: Sell fee base investment products Method of compensation: Commission based 3. Name: AI Mortgage Lending. Address: 388 E Valley Blvd suite 200, Alhambra, CA 91801 Position: CEO Start Date: 03/01/2023 Hours: 160 hours per month Duty: Manage day to day operation and loan originator Method of compensation: Salary plus commission 4. Registered Agent; Globalink Securities Inc; Investment Related: Yes; Location: 3452 E foothill blvd 1040; Description of the business: securities brokerage; Responsibilities Duties: help clients with investment; Start date with business: 2019-05-06; Hours devoted to business during trading hours: 1; Hours devoted to business outside trading hours: 1;

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2019-08-23
S65 Uniform Investment Adviser Law Examination 2019-08-20
S66 Uniform Combined State Law Examination 2016-08-24
  • S63 Uniform Securities Agent State Law Examination
    2019-08-23
  • S65 Uniform Investment Adviser Law Examination
    2019-08-20
  • S66 Uniform Combined State Law Examination
    2016-08-24
Other Names
  • Jian-Ting Liau

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