Francis Y. Choy
TRANSGLOBAL ADVISORY
MONROVIA, CA 91016
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CRD#: 7037695
Professional summary
Francis Yuk-sum Choy, CFP®, who also goes by Francis Yuk-sum Choy, Francis Choy, is a registered financial advisor currently at TRANSGLOBAL ADVISORY, LLC located in Monrovia, California and GLOBALINK SECURITIES, INC. located in Monrovia, California.
Francis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Francis has worked at 4 firms and has passed the Series 63, Series 7TO, SIE and Series 6TO exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Francis Yuk-Sum Choy | Francis Choy
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. Francis Y Choy PLLC, Houston Texas, owner from 01/01/2014, accounting and tax services, 80 hours per month, salary based. 2. Icon Financial Planning, LLC, Houston Texas, owner from 11/24/2024, financial and retirement planning, 80 hours per month, fee based. 3. Toppros, LLC, DBA Topro Realty, Houston Texas, Realtor from 01/01/2014, 80 hours per month, commission based. 4. TransGlobal Insurance Agency, Inc, Houston, Texas, fixed insurance producer from 12/01/2024, 80 hours per month, commission based.
CRS (Client Relationship Summary) - RIA
Click below to view Francis Yuk-sum Choy'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®
CFP®
Start date: 2023
Experience
Current
July 30, 2025 - Present
TRANSGLOBAL ADVISORY, LLC
Office #1: 185 W Chestnut Ave, Monrovia, CA 91016RIA
CRD#: 168709
MONROVIA, CA
Current
March 20, 2025 - Present
GLOBALINK SECURITIES, INC.
Office #1: 185 W Chestnut Ave,, Monrovia, CA 91016BD
CRD#: 29721
Monrovia, CA
Past
July 6, 2023 - October 8, 2024
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
Houston, TX
Past
January 19, 2023 - October 8, 2024
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
Houston, TX
Past
December 26, 2018 - March 20, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
HOUSTON, TX
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(3/20/2025)
RR
Texas(3/20/2025)
IAR
Texas(7/30/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/18/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 6TO
Date: 11/26/2018
Investment Company Products/Variable Contracts Representative ExaminationSRO 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.
