YT
Yu Tang
Some features on this profile are disabled
CRD#: 4974432
YT
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.
Yu Tang, who also goes by Jennifer Tang, Jennifer Tang, was a registered financial professional .
Yu is a previously registered financial professional and started their career in finance in 2005. Yu had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jennifer Tang | Jennifer Tang
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. Transglobal Insurance Agency, Inc., Clarksburg, MD, Independent Fixed Insurance Agent from 07/08/2022, 160 hours per month, commission based. Sales of fixed insurance products. Not securities related business. 2. TransGlobal Advisory, LLC., Clarksburg, MD, Investment Adviser Representative from 07/08/2022, 160 hours per month, Fee-based structure payout. Sales of Fee-based Investment Products. Securities related business.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
December 7, 2022 - May 15, 2025
TRANSGLOBAL ADVISORY, LLC
RIA
CRD#: 168709
Clarksburg, MD
Past
September 1, 2022 - April 29, 2024
GLOBALINK SECURITIES, INC.
BD
CRD#: 29721
PASADENA, CA
Past
September 8, 2017 - June 17, 2022
TRUIST ADVISORY SERVICES, INC.
RIA
CRD#: 283390
GAITHERSBURG, MD
Past
September 8, 2017 - June 17, 2022
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
GAITHERSBURG, MD
Past
October 27, 2016 - July 11, 2017
TRUIST ADVISORY SERVICES, INC.
RIA
CRD#: 283390
GAITHERSBURG, MD
Past
December 16, 2013 - July 11, 2017
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
GAITHERSBURG, MD
Past
May 29, 2007 - December 11, 2013
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
ROCKVILLE, MD
Past
June 10, 2005 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
ROCKVILLE, MD
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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.
