Lan Shen

GLOBALINK SECURITIES

Monrovia, CA 91016

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CRD#: 4809719

Professional summary

Lan Shen is a registered financial professional currently at GLOBALINK SECURITIES, INC. located in Monrovia, California.

Lan is registered as a RR (Registered Representative) and started their career in finance in 2004. Lan has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lan Shen'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

February 4, 2013 - Present

GLOBALINK SECURITIES, INC.

Office #1: 185 W Chestnut Ave,, Monrovia, CA 91016

CRD#: 29721

Monrovia, CA

Past

October 14, 2008 - December 5, 2012

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN MARINO, CA

Past

October 13, 2008 - December 5, 2012

LPL FINANCIAL LLC

CRD#: 6413

SAN MARINO, CA

Past

August 12, 2004 - October 21, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

GLENDALE, CA

Past

July 26, 2004 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

July 26, 2004 - October 21, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

GLENDALE, CA

State Registrations and Notice Filings

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

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

California
(2/4/2013)

Exams

State Security Law Exam

IAR

Series 66

Date: 8/11/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/22/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/2/2009

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

GLOBALINK SECURITIES, INC.

GLOBALINK SECURITIES, INC. | PALM SPRINGS RETIREMENT INVESTMENTS CORPORATION

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

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)

Documents

Customer Relationship Summary (CRS / FINRA)

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

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Lan Shen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lan Shen's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/11/2004

SIE

Date: 10/1/2018

Series 7

Date: 7/22/2004

Series 24

Date: 2/2/2009

FINRA

Current Firm

GLOBALINK SECURITIES, INC.

Contact information

FINRA licenses (28 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

GLOBALINK SECURITIES, INC.

TRUST BUT VERIFY

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