Anny Jiang-lee
Professional summary
Anny Jiang-lee, who also goes by Anny Y Jiang Ms, Anny Y Jiang, Ya Ping Jiang, Anny Y Jiang-lee, is a registered financial advisor currently at GLOBALINK SECURITIES, INC. located in Monrovia, California.
Anny is registered as a RR (Registered Representative) and started their career in finance in 1996. Anny has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Anny Jiang-lee's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 18, 2017 - Present
GLOBALINK SECURITIES, INC.
Office #1: 185 W Chestnut Ave,, Monrovia, CA 91016December 10, 2014 - July 30, 2015
HSBC SECURITIES (USA) INC.
June 18, 2014 - July 30, 2015
HSBC SECURITIES (USA) INC.
June 7, 2012 - May 12, 2014
METLIFE INVESTORS DISTRIBUTION COMPANY
January 1, 2005 - June 4, 2012
HSBC SECURITIES (USA) INC.
May 21, 1999 - January 1, 2005
HSBC BROKERAGE (USA) INC.
February 19, 1998 - November 3, 1998
PRUCO SECURITIES, LLC.
July 15, 1996 - January 8, 1998
METROPOLITAN LIFE INSURANCE COMPANY
July 15, 1996 - January 8, 1998
MSI 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
(10/18/2017)
(11/22/2017)
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
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