Lin Hsieh
Professional summary
Lin Hsieh, who also goes by Helen Lin Hsieh, is a registered financial professional currently at GLOBALINK SECURITIES, INC. located in Monrovia, California.
Lin is registered as a RR (Registered Representative) and started their career in finance in 1998. Lin has worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lin Hsieh's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 11, 2017 - Present
GLOBALINK SECURITIES, INC.
Office #1: 185 W Chestnut Ave,, Monrovia, CA 91016February 9, 2010 - April 18, 2013
PARTNERVEST ADVISORY SERVICES LLC
December 15, 2008 - January 5, 2010
WELLS FARGO CLEARING SERVICES, LLC
December 15, 2008 - January 5, 2010
WELLS FARGO CLEARING SERVICES, LLC
October 30, 2003 - December 17, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 30, 2003 - December 17, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 9, 2001 - October 31, 2003
MORGAN STANLEY DW INC.
November 16, 2000 - October 31, 2003
MORGAN STANLEY DW INC.
October 14, 1998 - December 12, 2000
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/26/2017)
Exams
FINRA
Current Firm
GLOBALINK SECURITIES, INC.
CRD#: 29721 / SEC#: , 8-44509
Contact information
FINRA licenses (28 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HU, PHILIP CHENGKUO | EXECUTIVE VICE PRESIDENT | 2576527 |
| LIAO, JUNHUA | PRESIDENT /CEO, CCO, AND AMLCO | 4278425 |
| TUNG, YVONNE YI-WEN | SECRETARY | 5202974 |
| FAN, STEVEN | SVP, COMPLIANCE DIRECTOR | 4039972 |
| LIOU, SHIOU-ING DIANE | SHAREHOLDER | 4436524 |
| LU, YUANYUAN | VP, DIRECTOR OF MARKETING | 7602201 |
| SHEN, LAN | SHAREHOLDERS | 4809719 |
| TANG, YING | VP, DIRECTOR OF ACCOUNTING | 6135897 |
| THORNTON, STEVEN LEE | FINOP | 4496384 |
| WANG, ZHUOLI | VP, DIRECTOR OF OPERATION | 6296782 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
