Yanshi R. Jin
Professional summary
Yanshi Rock Jin was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Yanshi is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Yanshi had worked at 4 firms, which includes GLOBALINK SECURITIES INC., SUNPOINT SECURITIES INC., WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, PACIFIC SOUTHERN SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 1999 - November 6, 2001
GLOBALINK SECURITIES, INC.
December 22, 1993 - February 3, 1999
SUNPOINT SECURITIES, INC.
March 16, 1992 - December 8, 1993
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
August 5, 1991 - March 16, 1992
PACIFIC SOUTHERN SECURITIES, 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
Exams
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
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