Steven Fan
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.
Steven Fan, who also goes by Yang Tung Fan, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1999. Steven had worked at 6 firms and has passed the Series 66, Series 63, Series 65, Series 99TO, SIE, Series 7, Series 4 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
April 9, 2024 - February 27, 2026
GLOBALINK WEALTH MANAGEMENT, LLC
June 16, 2022 - June 30, 2022
TRANSGLOBAL ADVISORY, LLC
February 3, 2021 - February 26, 2021
TRANSGLOBAL ADVISORY, LLC
October 9, 2018 - February 5, 2019
TRANSGLOBAL ADVISORY, LLC
August 4, 2015 - October 10, 2017
TRANSGLOBAL ADVISORY, LLC
December 12, 2006 - February 27, 2026
GLOBALINK SECURITIES, INC.
October 28, 2003 - November 12, 2004
STOCKS 4 LESS, INC.
October 2, 2000 - October 28, 2003
NATIONAL CLEARING CORP.
December 14, 1999 - October 19, 2000
FORTUNE SECURITIES, 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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
GLOBALINK WEALTH MANAGEMENT, LLC
CRD#: 323294 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 48 |
| AUM (Assets Under Management) | $ 12,558,103 |
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.
