SH
Shu-hsin S. Hsieh
TRANSGLOBAL ADVISORY
Las Vegas, NV
Some features on this profile are disabled
CRD#: 6222434
SH
Professional summary
Shu-hsin Suzanne Hsieh is a registered financial advisor currently at TRANSGLOBAL ADVISORY, LLC located in Las Vegas, Nevada and GLOBALINK SECURITIES, INC. located in Monrovia, California.
Shu-hsin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Shu-hsin has worked at 3 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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. Transglobal Insurance Agency, Inc., King of Prussia, PA, Fixed Insurance Product Producer from 05/05/2021, 40 hours per month, commission based. Not securities related. I will market products that Transpacific Financial, Inc.. offers. I will receive commissions from Transpacific Financial, Inc.. based on products I sell. 2. Globalink Securities, Inc, Registered Representative. I will market variable (Financial related) products that Globalink Securities, Inc. offers. I will receive commissions from Globalink Securities, Inc. based on products I sell. 3. TransGlobal Advisory, LLC., Monrovia, CA, IAR from 02/2022, 15 hours per month, commission based. Securities related business. 4. President; Faye Services Inc; Investment Related: No; Location of the business: 3111 S Valley View Blvd A220 PMB 1107 Las Vegas Nevada 89102 United States; Description of the business: insurance services only; Responsibilities Duties: conduct and oversee business.; Start date with business: 2023-08-24; Hours per month devoted to business during trading hours: 40; Hours per month devoted to business outside trading hours: 40; Percentage of total yearly compensation expected to be derived from the business: 50; 5. Yaodong Liu Family Foundation, Las Vegas, NV, President from 10/04/2023, family charitable foundation, oversee and administration of the foundation operations, 20 hours per month, volunteer, no monetary compensation.
CRS (Client Relationship Summary) - RIA
Click below to view Shu-hsin Suzanne Hsieh'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
July 19, 2022 - Present
TRANSGLOBAL ADVISORY, LLC
RIA
CRD#: 168709
Las Vegas, NV
Current
February 1, 2022 - Present
GLOBALINK SECURITIES, INC.
Office #1: 185 W Chestnut Ave,, Monrovia, CA 91016BD
CRD#: 29721
Monrovia, CA
Past
October 25, 2013 - August 11, 2021
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
MALVERN, PA
Past
July 8, 2013 - August 11, 2021
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
MALVERN, PA
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
RR
California(2/1/2022)
RR
Maryland(2/1/2022)
IAR
Nevada(10/16/2023)
RR
Nevada(2/20/2024)
RR
New Jersey(2/1/2022)
RR
New York(10/14/2025)
RR
Pennsylvania(2/1/2022)
RR
Virginia(9/19/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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.
