Joey Tsai
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Joey Tsai, who also goes by Chin Yu Tsai, Tung Tse Tsai, Tungtse Tsai, was a registered financial professional .
Joey is a previously registered financial professional and started their career in finance in 1999. Joey had worked at 12 firms and has passed the Series 63, Series 7TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 9, 2018 - August 31, 2021
GLOBALINK SECURITIES, INC.
October 4, 2016 - December 7, 2016
LPL FINANCIAL LLC
July 12, 2013 - October 23, 2014
KCD FINANCIAL, INC.
August 18, 2010 - October 27, 2011
E-W INVESTMENTS, INC.
October 22, 2007 - September 9, 2008
COUNTRYWIDE SECURITIES CORPORATION
May 26, 2006 - January 23, 2007
QUEST CAPITAL STRATEGIES, INC.
April 6, 2004 - May 10, 2006
SINOPAC FINANCIAL SERVICES (USA) LTD.
August 21, 2002 - August 21, 2003
CITICORP INVESTMENT SERVICES
June 11, 2001 - September 24, 2001
SCHONFELD SECURITIES, LLC
January 12, 2001 - June 6, 2001
INVESTIN SECURITIES CORP.
March 3, 1999 - November 29, 1999
MORGAN STANLEY DW INC.
January 15, 1999 - January 1, 1999
U. S. PACIFIC FINANCIAL SERVICES, 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
Exams
Series 7TO
Date: 4/18/2024
General Securities Representative ExaminationSeries 57TO
Date: 4/18/2024
Securities Trader ExamSeries 55
Date: 7/7/2001
Limited Representative-Equity Trader ExamCurrent 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
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.
