Joseph H. Lee
Professional summary
Joseph Hsioh-tsuei Lee, who also goes by Joseph H T Lee, Joseph Hsioh Tsuei Lee, Joseph Hsiohtsuei Lee, is a registered financial advisor currently at TRANSGLOBAL ADVISORY, LLC located in Monrovia, California and GLOBALINK SECURITIES, INC. located in Monrovia, California.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Joseph has worked at 21 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Hsioh-tsuei Lee's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 15, 2021 - Present
TRANSGLOBAL ADVISORY, LLC
Office #1: 185 W Chestnut Ave, Monrovia, CA 91016May 22, 2019 - Present
GLOBALINK SECURITIES, INC.
Office #1: 185 W Chestnut Ave,, Monrovia, CA 91016January 2, 2018 - April 3, 2019
CETERA INVESTMENT ADVISERS LLC
January 2, 2018 - April 3, 2019
CETERA INVESTMENT SERVICES LLC
March 1, 2017 - September 15, 2017
LPL FINANCIAL LLC
February 28, 2017 - September 15, 2017
LPL FINANCIAL LLC
January 21, 2014 - February 28, 2017
CETERA INVESTMENT ADVISERS LLC
January 14, 2011 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
January 13, 2011 - February 28, 2017
CETERA INVESTMENT SERVICES LLC
February 17, 2009 - July 20, 2009
LPL FINANCIAL LLC
November 26, 2007 - March 4, 2009
UCB ASSET MANAGEMENT, INC.
November 16, 2007 - March 4, 2009
UCB INVESTMENT SERVICES, INC.
November 1, 2004 - March 4, 2009
UCB INVESTMENT SERVICES, INC.
August 22, 2002 - September 30, 2002
SINOPAC FINANCIAL SERVICES (USA) LTD.
July 16, 2001 - November 1, 2004
SINOPAC FINANCIAL SERVICES (USA) LTD.
October 1, 2000 - May 22, 2001
BROWN BROTHERS HARRIMAN & CO.
January 20, 1998 - April 13, 1999
WMA SECURITIES, INC.
September 17, 1996 - November 20, 1996
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
November 30, 1995 - September 20, 1996
CITICORP INVESTMENT SERVICES
July 19, 1995 - November 20, 1995
SUPPES SECURITIES, INC.
November 3, 1994 - August 30, 1995
HTL SECURITIES, INC.
November 1, 1994 - August 22, 1995
NEWPORT COAST SECURITIES, INC.
May 29, 1992 - October 25, 1994
MARINER FINANCIAL SERVICES, INC.
September 4, 1990 - May 22, 1992
WELLS FARGO CLEARING SERVICES, LLC
March 13, 1990 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
July 19, 1988 - March 5, 1990
LASALLE ST SECURITIES, L.L.C.
April 11, 1988 - July 14, 1988
LEHMAN BROTHERS INC.
January 19, 1988 - April 11, 1988
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
TRANSGLOBAL ADVISORY, LLC
CRD#: 168709 / SEC#: 801-129096
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/23/2019)
(1/15/2021)
(2/9/2023)
Exams
FINRA
Current Firm
TRANSGLOBAL ADVISORY, LLC
CRD#: 168709 / SEC#: 801-129096
Contact information
SEC notice filing (16 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 226 |
| AUM (Assets Under Management) | $ 46,814,305 |
Red Flags
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