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SJ

Susan Jen

GLOBALINK SECURITIES
Monrovia, CA 91016
Some features on this profile are disabled
CRD#: 3124578
SJ

Professional summary

Susan Jen, who also goes by Yuwen Jen, is a registered financial professional currently at GLOBALINK SECURITIES, INC. located in Monrovia, California.

Susan is registered as a RR (Registered Representative) and started their career in finance in 1998. Susan has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Yuwen Jen

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.
Transglobal Advisory, LLC, Monrovia, CA, Investment Adviser Representative from 02/02/2017, Sell fee-based products, 10 hours per month, commission based. Securities related. Globalink Securities, Inc, Registered Representative.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Susan Jen'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

April 2, 2008 - Present

GLOBALINK SECURITIES, INC.

Office #1: 185 W Chestnut Ave,, Monrovia, CA 91016
BD
CRD#: 29721
Monrovia, CA
Past

February 22, 2017 - December 24, 2024

TRANSGLOBAL ADVISORY, LLC

RIA
CRD#: 168709
MONROVIA, CA
Past

November 19, 2003 - February 21, 2008

NYLIFE SECURITIES LLC

BD
CRD#: 5167
MONTERSEY PARK, CA
Past

April 10, 2001 - October 29, 2003

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
CITY OF INDUSTRY, CA
Past

October 13, 2000 - October 29, 2003

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

March 12, 1999 - October 19, 2000

FORTUNE SECURITIES, INC.

BD
CRD#: 40821
ALHAMBRA, CA
Past

January 29, 1999 - April 8, 1999

U. S. PACIFIC FINANCIAL SERVICES, INC.

BD
CRD#: 17423
ALHAMBRA, CA
Past

December 11, 1998 - April 6, 1999

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
WINDSOR, CT

State Registrations and Notice Filings

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

RR
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

RR
California
(4/2/2008)
RR
Indiana
(5/17/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/6/2016
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/18/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/7/1998
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

GS
GLOBALINK SECURITIES, INC.
GLOBALINK SECURITIES, INC. | PALM SPRINGS RETIREMENT INVESTMENTS CORPORATION

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

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HU, PHILIP CHENGKUOEXECUTIVE VICE PRESIDENT2576527
LIAO, JUNHUAPRESIDENT /CEO, CCO, AND AMLCO4278425
TUNG, YVONNE YI-WENSECRETARY5202974
FAN, STEVENSVP, COMPLIANCE DIRECTOR4039972
LIOU, SHIOU-ING DIANESHAREHOLDER4436524
LU, YUANYUANVP, DIRECTOR OF MARKETING7602201
SHEN, LANSHAREHOLDERS4809719
TANG, YINGVP, DIRECTOR OF ACCOUNTING6135897
THORNTON, STEVEN LEEFINOP4496384
WANG, ZHUOLIVP, DIRECTOR OF OPERATION6296782

Disclosures

Regulatory Event3
Arbitration1

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.

Company Information

GLOBALINK SECURITIES, INC.

CRD#: 29721Monrovia, CA 91016

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