Shuning Li
Professional Summary
Shuning Li is a registered financial advisor currently at TRANSGLOBAL ADVISORY, LLC located in Duluth, Georgia and GLOBALINK SECURITIES, INC. located in Monrovia, California. Shuning is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Shuning has worked at 3 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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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Years of Experience
8 years in the financial services industry
Current & Past Employments
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Current Firm
TRANSGLOBAL ADVISORY, LLC | TRANSPACIFIC FINANCIAL INC.
Contact Information
Main Address
185 W Chestnut Ave, Monrovia, CA 91016Phone Number
(626) 447-7888# of Employees
32SEC notice filing (17 States and Territories)
Registered to provide investment advisory services in 17 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
193AUM (Assets Under Management)
$58,340,309Similar Advisors
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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.
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Primary Firm SEC Registration
TRANSGLOBAL ADVISORY, LLC | TRANSPACIFIC FINANCIAL INC.
State Registrations and Notice Filings
(10/12/2022)
(10/12/2022)
(10/12/2022)
(8/18/2023)
(10/12/2022)
(12/11/2024)
(3/24/2023)
(1/17/2023)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Nov 2018About the Series 6TO examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Shuning Li's CRS (Customer Relationship Summary).
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