Yang Gui
Professional summary
Yang Gui, who also goes by Grace Gui, Grace Gui, is a registered financial professional currently at GLOBALINK SECURITIES, INC. located in Monrovia, California.
Yang is registered as a RR (Registered Representative) and started their career in finance in 2005. Yang has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Yang Gui's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 27, 2018 - Present
GLOBALINK SECURITIES, INC.
Office #1: 185 W Chestnut Ave,, Monrovia, CA 91016August 27, 2014 - August 20, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 11, 2010 - October 11, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 21, 2005 - July 20, 2010
VIRTU ITG LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/27/2018)
(1/7/2022)
(8/27/2018)
Exams
FINRA
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
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