SL
Shiou-ing D. Liou
TRANSGLOBAL ADVISORY
MONROVIA, CA 91016
Some features on this profile are disabled
CRD#: 4436524
SL
Professional summary
Shiou-ing Diane Liou, CFP®, who also goes by Diane Liou, Hsiu-ying Liou, is a registered financial advisor currently at TRANSGLOBAL ADVISORY, LLC located in Monrovia, California and GLOBALINK SECURITIES, INC. located in Monrovia, California.
Shiou-ing is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Shiou-ing has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Diane Liou | Hsiu-Ying Liou
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.
1) Agent of Sales - Transglobal Insurance Agency, Inc., Monrovia, CA, Health Insurance Agent from 11/01/2001, 5 hours per month, commission based. Not securities related. 2) TAX PREPARER, ACCOUNTING AND TAXES SERVICES, COMPENSATION RECEIVED BY SERVICE HOURS OR PROJECTS; DIANE LIOU ACCOUNTING & TAXES SERVICE, 1422 LOUISE AVE, ARCADIA, CA 91006, SELF-EMPLOYED / OWNER FROM 01/2001, 5 HOURS PER MONTH, PAY BY HOUR OR PROJECT. NOT SECURITIES RELATED. 3) GMP Financial Services, Arcadia, CA, owner from 09/15/2005, 130 hours per month, commission based. Selling fixed life insurance and fixed annuity products. Not securities related. 4) TransGlobal Advisory, LLC, Monrovia, CA, Registered Investment Advisor from 07/01/2017, 3 hours per month, Fee based structure. Securities related. 5) TransGloal Lending, Monrovia, CA, Loan Officer from 12/01/2016, 5 hours per month, commission based. Not Securities related. 6) Globalink Securities, Inc, Registered Representative.
CRS (Client Relationship Summary) - RIA
Click below to view Shiou-ing Diane Liou's 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®
Experience
Current
September 12, 2014 - Present
TRANSGLOBAL ADVISORY, LLC
Office #1: 185 W Chestnut Ave, Monrovia, CA 91016RIA
CRD#: 168709
MONROVIA, CA
Current
November 25, 2008 - Present
GLOBALINK SECURITIES, INC.
Office #1: 185 W Chestnut Ave,, Monrovia, CA 91016BD
CRD#: 29721
Monrovia, CA
Past
February 8, 2005 - November 25, 2008
TRANSAMERICA FINANCIAL ADVISORS, INC.
BD
CRD#: 3600
PASADENA, CA
Past
April 6, 2004 - February 7, 2005
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
February 3, 2004 - April 5, 2004
GLOBALINK SECURITIES, INC.
BD
CRD#: 29721
PASADENA, CA
Past
June 20, 2002 - January 28, 2004
LEGACY FINANCIAL SERVICES, INC.
BD
CRD#: 38697
PETALUMA, CA
Past
April 12, 2002 - May 10, 2002
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DULUTH, GA
Past
September 20, 2001 - April 12, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TA
TRANSGLOBAL ADVISORY, LLC
TRANSGLOBAL ADVISORY, LLC | TRANSPACIFIC FINANCIAL INC.
CRD#: 168709 / SEC#: 801-129096
RIA
Registered Investment Advisory firm - (11/30/2023 Approved)California
Registered Investment Advisory firm - (1/21/2024 Terminated)Georgia
Registered Investment Advisory firm - (1/3/2024 Terminated)Illinois
Registered Investment Advisory firm - (12/22/2023 Terminated)Louisiana
Registered Investment Advisory firm - (12/22/2023 Terminated)Maryland
Registered Investment Advisory firm - (12/26/2023 Terminated)Massachusetts
Registered Investment Advisory firm - (12/22/2023 Terminated)Michigan
Registered Investment Advisory firm - (12/29/2023 Terminated)Nevada
Registered Investment Advisory firm - (12/26/2023 Terminated)New Jersey
Registered Investment Advisory firm - (1/3/2024 Terminated)New York
Registered Investment Advisory firm - (12/22/2023 Terminated)North Carolina
Registered Investment Advisory firm - (12/22/2023 Terminated)Ohio
Registered Investment Advisory firm - (11/19/2019 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/22/2023 Terminated)Texas
Registered Investment Advisory firm - (12/22/2023 Terminated)Washington
Registered Investment Advisory firm - (1/18/2024 Terminated)Wyoming
Registered Investment Advisory firm - (12/22/2023 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(11/25/2008)
IAR
California(9/12/2014)
RR
Connecticut(9/23/2025)
IAR
Massachusetts(9/24/2020)
RR
Nevada(1/5/2024)
RR
New York(12/21/2021)
IAR
New York(2/9/2023)
RR
South Carolina(12/14/2022)
RR
Texas(1/3/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TA
TRANSGLOBAL ADVISORY, LLC
TRANSGLOBAL ADVISORY, LLC | TRANSPACIFIC FINANCIAL INC.
CRD#: 168709 / SEC#: 801-129096
RIA
Registered Investment Advisory firm - (11/30/2023 Approved)California
Registered Investment Advisory firm - (1/21/2024 Terminated)Georgia
Registered Investment Advisory firm - (1/3/2024 Terminated)Illinois
Registered Investment Advisory firm - (12/22/2023 Terminated)Louisiana
Registered Investment Advisory firm - (12/22/2023 Terminated)Maryland
Registered Investment Advisory firm - (12/26/2023 Terminated)Massachusetts
Registered Investment Advisory firm - (12/22/2023 Terminated)Michigan
Registered Investment Advisory firm - (12/29/2023 Terminated)Nevada
Registered Investment Advisory firm - (12/26/2023 Terminated)New Jersey
Registered Investment Advisory firm - (1/3/2024 Terminated)New York
Registered Investment Advisory firm - (12/22/2023 Terminated)North Carolina
Registered Investment Advisory firm - (12/22/2023 Terminated)Ohio
Registered Investment Advisory firm - (11/19/2019 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/22/2023 Terminated)Texas
Registered Investment Advisory firm - (12/22/2023 Terminated)Washington
Registered Investment Advisory firm - (1/18/2024 Terminated)Wyoming
Registered Investment Advisory firm - (12/22/2023 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
185 W Chestnut Ave, Monrovia, CA 91016
Mailing Address
Phone number
(626) 447-7888
Established
Firm type
Fiscal year end
# of Employees
29
SEC notice filing (16 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 226 |
| AUM (Assets Under Management) | $ 46,814,305 |
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.
