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PH

Philip Chengkuo Hu

CFP®
TRANSGLOBAL ADVISORY
MONROVIA, CA
·CRD# 2576527·31 years experience

Professional Summary

Philip Chengkuo Hu, CFP® is a registered financial advisor currently at TRANSGLOBAL ADVISORY, LLC located in Monrovia, California and GLOBALINK SECURITIES, INC. located in Monrovia, California. Philip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Philip has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Credentials

CFP®
Certified Financial PlannerSince 2002

Years of Experience

31 years in the financial services industry

Current & Past Employments

TRANSGLOBAL ADVISORY, LLC·CRD# 168709
RIA
185 W Chestnut Ave, Monrovia, CA 91016
September 12, 2014 - Present
GLOBALINK SECURITIES, INC.·CRD# 29721
BD
185 W Chestnut Ave,, Monrovia, CA 91016
September 17, 2008 - Present
TRANSAMERICA FINANCIAL ADVISORS, INC.·CRD# 3600
RIA
Alhambra, CA
June 29, 2005 - December 31, 2007
TRANSAMERICA FINANCIAL ADVISORS, INC.·CRD# 3600
BD
Alhambra, CA
February 2, 2005 - September 16, 2008
VOYA FINANCIAL ADVISORS, INC.·CRD# 2882
BD
Windsor, CT
April 8, 2004 - February 2, 2005
GLOBALINK SECURITIES, INC.·CRD# 29721
BD
Pasadena, CA
February 3, 2004 - March 30, 2004
LEGACY FINANCIAL SERVICES, INC.·CRD# 38697
BD
Petaluma, CA
May 1, 2002 - January 20, 2004
WORLD GROUP SECURITIES, INC.·CRD# 114473
BD
Duluth, GA
April 12, 2002 - May 10, 2002
WMA SECURITIES, INC.·CRD# 32625
BD
Duluth, GA
February 20, 1996 - April 12, 2002
UNITED SECURITIES ALLIANCE, INC.·CRD# 36487
BD
Greenwood Village, CO
October 25, 1995 - February 9, 1996
PFS INVESTMENTS INC.·CRD# 10111
BD
Duluth, GA
February 27, 1995 - September 28, 1995

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Current Firm

TA
TRANSGLOBAL ADVISORY, LLC

TRANSGLOBAL ADVISORY, LLC | TRANSPACIFIC FINANCIAL INC.

CRD#: 168709 / SEC#: 801-129096
RIA
Registered Investment Advisory firm - SEC (11/30/2023 Approved)
California
Registered Investment Advisory firm - California (1/21/2024 Terminated)
Georgia
Registered Investment Advisory firm - Georgia (1/3/2024 Terminated)
Illinois
Registered Investment Advisory firm - Illinois (12/22/2023 Terminated)
Louisiana
Registered Investment Advisory firm - Louisiana (12/22/2023 Terminated)
Maryland
Registered Investment Advisory firm - Maryland (12/26/2023 Terminated)
Massachusetts
Registered Investment Advisory firm - Massachusetts (12/22/2023 Terminated)
Michigan
Registered Investment Advisory firm - Michigan (12/29/2023 Terminated)
Nevada
Registered Investment Advisory firm - Nevada (12/26/2023 Terminated)
New Jersey
Registered Investment Advisory firm - New Jersey (1/3/2024 Terminated)
New York
Registered Investment Advisory firm - New York (12/22/2023 Terminated)
North Carolina
Registered Investment Advisory firm - North Carolina (12/22/2023 Terminated)
Ohio
Registered Investment Advisory firm - Ohio (11/19/2019 Terminated)
Pennsylvania
Registered Investment Advisory firm - Pennsylvania (12/22/2023 Terminated)
Texas
Registered Investment Advisory firm - Texas (12/22/2023 Terminated)
Washington
Registered Investment Advisory firm - Washington (1/18/2024 Terminated)
Wyoming
Registered Investment Advisory firm - Wyoming (12/22/2023 Terminated)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

185 W Chestnut Ave, Monrovia, CA 91016

Phone Number

(626) 447-7888

# of Employees

32

SEC notice filing (17 States and Territories)

Registered to provide investment advisory services in 17 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WRAP BROCHURE (3/26/2026)

Regulatory Assets Under Management

Total Number of Accounts

193

AUM (Assets Under Management)

$58,340,309

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1). Transglobal Insurance Agency, Inc.. NON-INVESTMENT RELATED. ADDRESS:185 W. Chestnut Ave., Monrovia, CA 91016. NATURE OF BUSINESS: FIXED INSURANCE AGENCY, WHOLESALING VARIOUS INSURANCE COMPANIES AND RECRUITING INSURANCE AGENTS. TITLE AND POSITION: PRESIDENT, CEO STARTING BUSINESS DATE: 07/2000 HOURS: 30 HOURS PER WEEK, SALARY. 2). GRAND RESOURCES FINANCIAL SINCE 02/2014, MANAGER, 1 HOUR PER WEEK, SALE FIXED LIFE INSURANCE, COMMISSION BASE. 3). TRANSGLOBAL ADVISORY, LLC., PRESIDENT / CEO, MONROVIA, CA, FROM 05/2013, COMMISSION BASE, OVERSEAS OPERATION OF RIA ACTIVITIES. 4). INVESTORS TRUST ASSURANCE, INTRODUCER FROM 12/2014, MONROVIA, CA., 1 HOUR PER WEEK, COMMISSION BASE, CONDUCT OFFSHORE FIXED ANNUITY BUSINESS. 5). TRANS SINO, LLC. MANGER FROM 01/2015,MONROVIA, CA., 1 HOUR PER WEEK, COMMISSION BASE, CONDUCT FIXED LIFE INSURANCE BUSINESS, NOT SECURITIES RELATED. 6). Golden star Inc., DBA TransGlobal Lending, Manager from 01/2016, Monrovia, CA, 20 Hours per Month, Commission based. 7.) Globalink Securities, Inc, Registered Representative. 8. Name of outside business: Transglobal Retirement Services Inc.; Is the business investment related: No; Location of the business: 6085 W Twain Avenue. Suite 101, Las Vegas NV 89103 USA; Description of the business: Retirement Services; Position Title: President; Responsibilities Duties: 1. Set up business model 2. Assign dedicated manager to operate the business 3. Routinely meet with dedicated manger; Start date with business: 2021-04-19; Hours per month devoted to business during trading hours: 10; Hours per month devoted to business outside trading hours: 10; 9. Name of outside business: Transglobal Private Lending Inc Is the business investment related: No; Location of the business: 6085 W Twain Avenue. Suite 101 Las Vegas NV 89103 USA; Description of the business: Payroll Services; Position Title: President; Responsibilities Duties: 1. Set up business model 2. Assign dedicated manager to operate the business 3. Routinely meet with dedicated manger; Start date with business: 2022-05; Hours per month devoted to business during trading hours: 5; Hours per month devoted to business outside trading hours: 5; 10. Name of outside business: Transglobal Payroll Services Inc.; Is the business investment related: No; Location of the business: 6085 W Twain Avenue. Suite 101 Las Vegas NV 89103 USA; Description of the business: Payroll Services; Position Title: President; Responsibilities Duties: 1. Set up business model 2. Assign dedicated manager to operate the business 3. Routinely meet with dedicated manger; Start date with business: 2022-09-06; Hours per month devoted to business during trading hours: 5; Hours per month devoted to business outside trading hours: 5; 11. Name of outside business: Transglobal Tax Services LLC; Is the business investment related: No; Location of the business: 185 W Chestnut Ave Monrovia CA 91016 USA; Description of the business: Provide tax compliance and consultation services to the public.; Position Title: Manager; Responsibilities Duties: 1. Set up business model 2. Assign dedicated manager to operate the business 3. Routinely meet with dedicated manger; Start date with business: 2020-07-10; Hours per month devoted to business during trading hours: 10; Hours per month devoted to business outside trading hours: 10; 12. Name of outside business: Transglobal Education Group; Is the business investment related: No; Location of the business: 6085 W Twain Avenue. Suite 101, Las Vegas NV 89103 USA; Description of the business: Provide varied online classes to age 7-18 children. ; Position Title: President; Responsibilities Duties: 1. Set up business model 2. Assign dedicated manager to operate the business 3. Routinely meet with dedicated manger; Start date with business: 2021-12-02; Hours per month devoted to business during trading hours: 5; Hours per month devoted to business outside trading hours: 5;

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Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TA
TRANSGLOBAL ADVISORY, LLC

TRANSGLOBAL ADVISORY, LLC | TRANSPACIFIC FINANCIAL INC.

CRD#: 168709 / SEC#: 801-129096
RIA
Registered Investment Advisory firm - SEC (11/30/2023 Approved)
California
Registered Investment Advisory firm - California (1/21/2024 Terminated)
Georgia
Registered Investment Advisory firm - Georgia (1/3/2024 Terminated)
Illinois
Registered Investment Advisory firm - Illinois (12/22/2023 Terminated)
Louisiana
Registered Investment Advisory firm - Louisiana (12/22/2023 Terminated)
Maryland
Registered Investment Advisory firm - Maryland (12/26/2023 Terminated)
Massachusetts
Registered Investment Advisory firm - Massachusetts (12/22/2023 Terminated)
Michigan
Registered Investment Advisory firm - Michigan (12/29/2023 Terminated)
Nevada
Registered Investment Advisory firm - Nevada (12/26/2023 Terminated)
New Jersey
Registered Investment Advisory firm - New Jersey (1/3/2024 Terminated)
New York
Registered Investment Advisory firm - New York (12/22/2023 Terminated)
North Carolina
Registered Investment Advisory firm - North Carolina (12/22/2023 Terminated)
Ohio
Registered Investment Advisory firm - Ohio (11/19/2019 Terminated)
Pennsylvania
Registered Investment Advisory firm - Pennsylvania (12/22/2023 Terminated)
Texas
Registered Investment Advisory firm - Texas (12/22/2023 Terminated)
Washington
Registered Investment Advisory firm - Washington (1/18/2024 Terminated)
Wyoming
Registered Investment Advisory firm - Wyoming (12/22/2023 Terminated)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
California
(9/17/2008)
IAR
California
(9/12/2014)
RR
Connecticut
(7/27/2021)
RR
Georgia
(2/17/2026)
RR
Hawaii
(10/30/2014)
IAR
Hawaii
(9/28/2023)
RR
Illinois
(1/27/2026)
RR
Massachusetts
(7/15/2019)
IAR
Massachusetts
(9/24/2020)
IAR
Nevada
(6/12/2023)
RR
Nevada
(10/25/2023)
IAR
New Jersey
(10/11/2017)
IAR
New York
(2/8/2023)
RR
New York
(8/2/2024)
RR
North Carolina
(11/6/2019)
RR
Pennsylvania
(11/26/2019)
IAR
Pennsylvania
(9/28/2023)
IAR
Texas
(5/11/2018)
RR
Utah
(10/1/2024)
IAR
Washington
(3/21/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 1995About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Oct 2001About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Feb 1995About the Series 6 exam

Series 24 — General Securities Principal Examination

Passed Dec 2004About the Series 24 exam

Series 26 — Investment Company Products/Variable Contracts Principal Examination

Passed Jan 1998About the Series 26 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Philip Chengkuo Hu's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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PH
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