Alice S. Lo

GLOBALINK SECURITIES

Monrovia, CA 91016

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CRD#: 2934413

Professional summary

Alice Su Lo, who also goes by Sulan Yang, is a registered financial professional currently at GLOBALINK SECURITIES, INC. located in Monrovia, California.

Alice is registered as a RR (Registered Representative) and started their career in finance in 1997. Alice has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sulan Yang

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alice Su Lo's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 2, 2007 - Present

GLOBALINK SECURITIES, INC.

Office #1: 185 W Chestnut Ave,, Monrovia, CA 91016

CRD#: 29721

Monrovia, CA

Past

September 29, 2005 - April 19, 2007

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

LOS ANGELES, CA

Past

January 4, 2002 - August 18, 2005

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

CITY OF INDUSTRY, CA

Past

January 1, 1998 - August 18, 2005

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

October 16, 1997 - November 21, 1997

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(5/2/2007)

Exams

State Security Law Exam

IAR

Series 65

Date: 8/3/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/8/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 10/15/1997

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

GLOBALINK SECURITIES, INC.

GLOBALINK SECURITIES, INC. | PALM SPRINGS RETIREMENT INVESTMENTS CORPORATION

CRD#: 29721 / SEC#: , 8-44509

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

3452 East Foothill Boulevard Suite 1040, Pasadena, CA 91107

Mailing Address

3452 East Foothill Boulevard Suite 1040, Pasadena, CA 91107

Phone number

(626) 964-5966

Established

California since 01/03/1992

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (28 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

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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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Alice S. Lo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alice Su Lo's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRANSAMERICA FINANCIAL ADVISORS, INC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

WMA SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/3/2001

Series 63

Date: 10/8/1997

SIE

Date: 10/1/2018

Series 6

Date: 10/15/1997

FINRA

Current Firm

GLOBALINK SECURITIES, INC.

Contact information

FINRA licenses (28 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

GLOBALINK SECURITIES, INC.

TRUST BUT VERIFY

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