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DY

Dongwook Yi

GLOBALINK SECURITIES
Monrovia, CA 91016
Some features on this profile are disabled
CRD#: 5395813
DY

Professional summary

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

Dongwook is registered as a RR (Registered Representative) and started their career in finance in 2007. Dongwook has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
1. Arche America Financial Group, Downey, CA 90241, fixed insurance product agent from 08/01/2007, 20 hours per month, commission based, not securities related. 2. Arche, America Insurance Services, Downey, CA 90241, fixed insurance product agent from 08/01/2007, 20 hours per month, commission based, not securities related. 3. JSG Plutus, Irvine CA 92602, partner from 01/01/2018, real estate rental business, one hour per month, commission based, not securities related. 4. Transpacific Financial, Inc, Monrovia, CA 91016, fixed insurance product agent from 07/01/2014, 5 hours per month, commission based, not securities related.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dongwook Yi'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

November 9, 2022 - Present

GLOBALINK SECURITIES, INC.

Office #1: 185 W Chestnut Ave,, Monrovia, CA 91016
BD
CRD#: 29721
Monrovia, CA
Past

December 15, 2021 - November 18, 2022

LPL FINANCIAL LLC

RIA
CRD#: 6413
DOWNEY, CA
Past

December 15, 2021 - November 18, 2022

LPL FINANCIAL LLC

BD
CRD#: 6413
DOWNEY, CA
Past

January 1, 2015 - November 30, 2020

VERUS CAPITAL PARTNERS, LLC

RIA
CRD#: 151568
DOWNEY, CA
Past

December 3, 2014 - December 31, 2014

VERUS CAPITAL PARTNERS, LLC

RIA
CRD#: 151568
LOS ANGELES, CA
Past

December 18, 2012 - December 21, 2021

SECURITIES AMERICA, INC.

BD
CRD#: 10205
DOWNEY, CA
Past

September 7, 2007 - November 9, 2012

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
LOS ANGELES, CA
Past

September 3, 2007 - November 9, 2012

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
LOS ANGELES, CA

State Registrations and Notice Filings

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

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
(11/9/2022)
RR
Texas
(11/9/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/5/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/1/2007
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

GS
GLOBALINK SECURITIES, INC.
GLOBALINK SECURITIES, INC. | PALM SPRINGS RETIREMENT INVESTMENTS CORPORATION

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

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HU, PHILIP CHENGKUOEXECUTIVE VICE PRESIDENT2576527
LIAO, JUNHUAPRESIDENT /CEO, CCO, AND AMLCO4278425
TUNG, YVONNE YI-WENSECRETARY5202974
FAN, STEVENSVP, COMPLIANCE DIRECTOR4039972
LIOU, SHIOU-ING DIANESHAREHOLDER4436524
LU, YUANYUANVP, DIRECTOR OF MARKETING7602201
SHEN, LANSHAREHOLDERS4809719
TANG, YINGVP, DIRECTOR OF ACCOUNTING6135897
THORNTON, STEVEN LEEFINOP4496384
WANG, ZHUOLIVP, DIRECTOR OF OPERATION6296782

Disclosures

Regulatory Event3
Arbitration1

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.

Company Information

GLOBALINK SECURITIES, INC.

CRD#: 29721Monrovia, CA 91016

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