BL
Bill J. Liau
TRANSGLOBAL ADVISORY
MONROVIA, CA 91016
Some features on this profile are disabled
CRD#: 5693677
BL
Professional summary
Bill Jian-ting Liau, who also goes by Jian-ting Liau, is a registered financial advisor currently at TRANSGLOBAL ADVISORY, LLC located in Monrovia, California and GLOBALINK SECURITIES, INC. located in Monrovia, California.
Bill is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Bill has worked at 3 firms and has passed the Series 63, Series 65, Series 66, Series 99TO, SIE, Series 87, Series 7, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jian-Ting Liau
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. Name: TransGlobal Holding Company Address: 185 W. Chestnut Ave., Monrovia, CA 91016 Nature: Fixed insurance general agency Position: Independent Insurance Agent Start Date:05/06/2019 Hours: 1 0 hours per month Duty: Sell fixed insurance and fixed annuities products. 2. Name: TransGlobal Advisory, LLC Address: 185 W. Chestnut Ave., Monrovia, CA 91016 Nature: Registered Investment Adviser Position: Investment Adviser Representative Start Date:06/07/2019 Hours: 10 hours per month Duty: Sell fee base investment products Method of compensation: Commission based 3. Name: AI Mortgage Lending. Address: 388 E Valley Blvd suite 200, Alhambra, CA 91801 Position: CEO Start Date: 03/01/2023 Hours: 160 hours per month Duty: Manage day to day operation and loan originator Method of compensation: Salary plus commission 4. Registered Agent; Globalink Securities Inc; Investment Related: Yes; Location: 3452 E foothill blvd 1040; Description of the business: securities brokerage; Responsibilities Duties: help clients with investment; Start date with business: 2019-05-06; Hours devoted to business during trading hours: 1; Hours devoted to business outside trading hours: 1;
CRS (Client Relationship Summary) - RIA
Click below to view Bill Jian-ting Liau'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®
NoneExperience
Current
August 20, 2019 - Present
TRANSGLOBAL ADVISORY, LLC
Office #1: 185 W Chestnut Ave, Monrovia, CA 91016RIA
CRD#: 168709
MONROVIA, CA
Current
September 17, 2019 - Present
GLOBALINK SECURITIES, INC.
Office #1: 185 W Chestnut Ave,, Monrovia, CA 91016BD
CRD#: 29721
Monrovia, CA
Past
August 19, 2015 - January 24, 2018
GRIFFINEST ASIA SECURITIES, LLC
BD
CRD#: 132187
PASADENA, CA
Past
September 24, 2009 - November 7, 2013
GLOBALINK SECURITIES, INC.
BD
CRD#: 29721
PASADENA, CA
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
IAR
California(8/20/2019)
RR
California(9/17/2019)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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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.
