Catherine W. Roney
Professional summary
Catherine Wang Roney, who also goes by Catherine Chen, Wheiyin Chen, Wheiyin Wang, is a registered financial professional currently at GLOBALINK SECURITIES, INC. located in Monrovia, California.
Catherine is registered as a RR (Registered Representative) and started their career in finance in 1996. Catherine has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Catherine Wang Roney's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 4, 2009 - Present
GLOBALINK SECURITIES, INC.
Office #1: 185 W Chestnut Ave,, Monrovia, CA 91016September 6, 2005 - January 27, 2009
UCB INVESTMENT SERVICES, INC.
February 2, 2005 - August 22, 2005
TRANSAMERICA FINANCIAL ADVISORS, INC.
June 26, 2002 - April 11, 2003
WALL STREET FINANCIAL GROUP, INC.
July 21, 2000 - April 11, 2003
WALL STREET FINANCIAL GROUP, INC.
November 21, 1996 - July 25, 2000
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
(2/4/2009)
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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