Kuang H. Wang
Professional summary
Kuang Hsia Wang, who also goes by Richard Wang, is a registered financial professional currently at GLOBALINK SECURITIES, INC. located in Pasadena, California.
Kuang is registered as a RR (Registered Representative) and started their career in finance in 1992. Kuang has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kuang Hsia Wang's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 12, 2010 - Present
GLOBALINK SECURITIES, INC.
Office #1: 3452 East Foothill Boulevard Suite 1040, Pasadena, CA 91107April 5, 2007 - February 9, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 21, 2007 - February 9, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 8, 1997 - November 9, 2006
CHARLES SCHWAB & CO., INC.
July 26, 1995 - November 9, 2006
CHARLES SCHWAB & CO., INC.
September 1, 1993 - July 12, 1995
JCSH INVESTMENT GROUP, INC.
April 3, 1992 - September 2, 1993
INTERFIRST CAPITAL CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/12/2010)
(4/5/2024)
Exams
Series 8
Date: 9/26/1997
General Securities Sales Supervisor Examination (Options Module & General Module)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.
