SL
Shuning Li
TRANSGLOBAL ADVISORY
Duluth, GA 30096
Some features on this profile are disabled
CRD#: 6951329
SL
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.
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., Gainesville, FL, & Marietta, GA, Fixed Insurance Agent from 10/03/2022, 180 hours per month, commission based. 2. Registered Representative; Globalink Securities, Inc.; Investment related: Yes; Location:3452 EAST FOOTHILL BOULEVARD SUITE 1040, PASADENA, CA 91107 UNITED STATES ; Description of the business: Broker-dealer firm; Business Started: 10/12/2022; During trading hours: 30; Expected total yearly compensation derived from the business: 30% 3. Wintory Wealth, LLC; owner and manager ; investment related: No; 2204 Lasalle Dr Marietta GA 30062 United States; Duties: owns and manages the company ; 2023-06-01; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 150; Percentage of total yearly compensation expected to be derived from the business: 50;
CRS (Client Relationship Summary) - RIA
Click below to view Shuning Li'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 18, 2023 - Present
TRANSGLOBAL ADVISORY, LLC
Office #1: 3237 Satellite Blvd. Building 300 Ste 225, Duluth, GA 30096RIA
CRD#: 168709
Duluth, GA
Current
October 12, 2022 - Present
GLOBALINK SECURITIES, INC.
Office #1: 185 W Chestnut Ave,, Monrovia, CA 91016BD
CRD#: 29721
Monrovia, CA
Past
September 23, 2019 - September 22, 2022
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
LAKE MARY, FL
Past
December 24, 2018 - September 22, 2022
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
LAKE MARY, FL
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(10/12/2022)
RR
Florida(10/12/2022)
RR
Georgia(10/12/2022)
IAR
Georgia(8/18/2023)
RR
Maryland(10/12/2022)
RR
New Jersey(12/11/2024)
RR
Texas(3/24/2023)
RR
Virginia(1/17/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 11/16/2018
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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
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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.
