Andy S. Hone
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.
Andy Sian Hone, who also goes by Andy Sian Hung, Andy Hung, was a registered financial professional .
Andy is a previously registered financial professional and started their career in finance in 1999. Andy had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2018 - August 8, 2018
GLOBALINK SECURITIES, INC.
November 12, 2014 - February 16, 2016
LPL FINANCIAL LLC
September 23, 2014 - February 16, 2016
LPL FINANCIAL LLC
May 7, 2008 - October 20, 2016
PENCE WEALTH MANAGEMENT, INC.
June 12, 2006 - November 13, 2013
LPL FINANCIAL LLC
September 6, 2004 - May 31, 2006
TRANSAMERICA FINANCIAL ADVISORS, INC.
September 13, 2001 - December 12, 2003
CORE PACIFIC SECURITIES USA LLC
December 23, 1999 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
December 13, 1999 - July 25, 2001
EQUITABLE ADVISORS, LLC
January 12, 1999 - October 11, 1999
WOODBURY 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
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
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.
