Xinyi Wang

GRIFFINEST ASIA ASSET MANAGEMENT

PASADENA, CA 91101

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CRD#: 6268504

Professional summary

Xinyi Wang is a registered financial advisor currently at GRIFFINEST ASIA ASSET MANAGEMENT, LLC located in Pasadena, California and GRIFFINEST ASIA SECURITIES, LLC located in Pasadena, California.

Xinyi is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Xinyi has worked at 2 firms and has passed the Series 63, SIE, Series 87, Series 7, Series 24 and Series 4 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.

RESEARCH PRINCIPAL OF GRIFFINEST ASIA SECURITIES, LLC, INVESTMENT RELATED, 3452 E. FOOTHILL BLVD., SUITE 100, PASADENA, CA 91107, SPEND 40 HOURS/WEEK.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Xinyi Wang'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®

None

Experience

Current

February 25, 2021 - Present

GRIFFINEST ASIA ASSET MANAGEMENT, LLC

Office #1: 301 N. Lake Ave., Suite 110, Pasadena, CA 91101

RIA

CRD#: 306355

PASADENA, CA

Current

October 24, 2016 - Present

GRIFFINEST ASIA SECURITIES, LLC

Office #1: 301 North Lake Avenue Suite 110, Pasadena, CA 91101

CRD#: 132187

PASADENA, CA

Past

January 7, 2014 - January 22, 2016

GRIFFINEST ASIA SECURITIES, LLC

CRD#: 132187

PASADENA, CA

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.

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

California
(10/24/2016)

IAR

California
(2/25/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 4/9/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 8/22/2014

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 1/7/2014

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/17/2017

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 11/19/2016

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

GRIFFINEST ASIA ASSET MANAGEMENT, LLC

CRD#: 306355 / SEC#:

California

Registered Investment Advisory firm - (1/3/2020 Approved)

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Contact information

Main Address

301 N. Lake Ave., Suite 110, Pasadena, CA 91101

Mailing Address

Phone number

(626) 792-1388

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	9
AUM (Assets Under Management)	$ 10,266,083

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.

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Firm Stability Insights

Xinyi Wang

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Xinyi Wang's CRS (Customer Relationship Summary).

Certified licenses

Experience

GRIFFINEST ASIA SECURITIES, LLC

GRIFFINEST ASIA SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/9/2014

SIE

Date: 10/1/2018

Series 87

Date: 8/22/2014

Series 7

Date: 1/7/2014

Series 24

Date: 1/17/2017

Series 4

Date: 11/19/2016

FINRA

Current Firm

GRIFFINEST ASIA ASSET MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GRIFFINEST ASIA ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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