Francine S. Chiu
Professional summary
Francine Sheen Hwei Chiu, who also goes by Francine S. Chiu, Francine Chiu, is a registered financial professional currently at GLOBALINK SECURITIES, INC. located in Monrovia, California.
Francine is registered as a RR (Registered Representative) and started their career in finance in 1996. Francine has worked at 4 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Francine Sheen Hwei Chiu's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 8, 2022 - Present
GLOBALINK SECURITIES, INC.
Office #1: 185 W Chestnut Ave,, Monrovia, CA 91016February 11, 2020 - February 11, 2022
MML INVESTORS SERVICES, LLC
January 7, 2016 - December 23, 2019
MML INVESTORS SERVICES, LLC
December 19, 2006 - October 17, 2007
GLOBALINK SECURITIES, INC.
April 12, 2002 - December 31, 2004
WORLD GROUP SECURITIES, INC.
September 6, 1996 - April 12, 2002
WMA 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
(6/8/2022)
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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