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WM

William E. Misquez

GLOBALINK SECURITIES
Fair Oaks, CA 95628
Some features on this profile are disabled
CRD#: 6311595
WM

Professional summary

William Everett Misquez, CFP®, who also goes by Bill Misquez, is a registered financial professional currently at GLOBALINK SECURITIES, INC. located in Fair Oaks, California.

William is registered as a RR (Registered Representative) and started their career in finance in 2014. William has worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bill Misquez

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Everett Misquez'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®
CFP®

Certified Financial Planner

Experience

Current

April 3, 2014 - Present

GLOBALINK SECURITIES, INC.

Office #1: 5150 Sunrise Blvd., #b6, Fair Oaks, CA 95628
BD
CRD#: 29721
Fair Oaks, 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
(5/12/2014)

Exams

State Security Law Exam
RR
Series 63
Date: 5/12/2014
Uniform Securities Agent 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: 4/2/2014
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#: 29721Fair Oaks, CA 95628

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