Alex Yaung
Professional Summary
Alex Yaung is a registered financial advisor currently at GLOBALINK SECURITIES, INC. located in Pasadena, California. Alex is registered as a RR (Registered Representative) and started their career in finance in 1996. Alex has worked at 5 firms and has passed the Series 65, Series 63, Series 42, Series 52TO, SIE, Series 7, Series 4, Series 53 and Series 24 exams.
At a Glance
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
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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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Years of Experience
30 years in the financial services industry
Current & Past Employments
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Current Firm
GLOBALINK SECURITIES, INC. | PALM SPRINGS RETIREMENT INVESTMENTS CORPORATION
Contact Information
Main Address
3452 East Foothill Boulevard Suite 1040, Pasadena, CA 91107Mailing Address
3452 East Foothill Boulevard Suite 1040, Pasadena, CA 91107Phone Number
(626) 964-5966Established
California since 01/03/1992Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (28 States and Territories)
Registered to provide investment advisory services in 0 US 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 |
| HSIEH, HSINYEH | VP, DIRECTOR OF BUSINESS DEVELOPMENT | 7437637 |
| 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
3Arbitration
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(11/3/2015)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 42 — Registered Options Representative Examination
Passed Jan 2023Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Alex Yaung's CRS (Customer Relationship Summary).
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