Patricia W. Harris
TRANSGLOBAL ADVISORY | Financial Advisor
Devens, MA
Some features on this profile are disabled
CRD#: 7089287
Professional summary
Patricia W Harris, CFP®, who also goes by Patricia Weng Harris, Patricia Yeehung Weng Harris, Patricia Harris, Patricia Hsiu I Weng, Patricia Hsiu I Weng, is a registered financial advisor currently at TRANSGLOBAL ADVISORY, LLC located in Devens, Massachusetts and GLOBALINK SECURITIES, INC. located in Monrovia, California.
Patricia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Patricia has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Patricia Weng Harris | Patricia Yeehung Weng Harris | Patricia Harris | Patricia Hsiu I Weng | Patricia Hsiu I Weng
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., Waltham, MA, Fixed Insurance Agent from 07/01/2023, 80 hours per month, commission based. Not securities related. 2. Globalink Securities, Inc., Financial Consultant, Pasadena, CA United States from 08/04/2023, 20 hours per month, commission based. Securities related. 3. Chang & Deka, Winchester, MA, Accountant from12/16/2022, 20 hours per month, profit sharing. Not securities related. 4. Integrated Financial Consulting, LLC, Devens, MA, Planner from 01/01/2025, comprehensive financial planning, 80 hours per month. Self-employment income. Not securities related. 5. Pat Harris CPA, Honesdale, PA, CPA from 02/2009. Not securities related.
CRS (Client Relationship Summary) - RIA
Click below to view Patricia W Harris'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®
Experience
Current
August 22, 2023 - Present
TRANSGLOBAL ADVISORY, LLC
RIA
CRD#: 168709
Devens, MA
Current
August 4, 2023 - Present
GLOBALINK SECURITIES, INC.
Office #1: 185 W Chestnut Ave,, Monrovia, CA 91016BD
CRD#: 29721
Monrovia, CA
Past
July 9, 2019 - December 15, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WORCESTER, MA
Past
June 4, 2019 - December 15, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WORCESTER, MA
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(8/4/2023)
IAR
California(8/22/2023)
RR
Massachusetts(8/4/2023)
IAR
Massachusetts(8/30/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/4/2019
General Securities 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
TRANSGLOBAL ADVISORY, LLC
Financial AdvisorCRD#: 168709Devens, MATRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
