YZ
Yan Zhang
ACE DIVERSIFIED CAPITAL
San Gabriel, CA 91776
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CRD#: 7165364
YZ
Professional summary
Yan Zhang, CFP® is a registered financial professional currently at ACE DIVERSIFIED CAPITAL, INC. located in San Gabriel, California.
Yan is registered as a RR (Registered Representative) and started their career in finance in 2019. Yan has worked at 3 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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. Transpacific Financial, Inc., Monrovia, CA, fixed insurance agent from 05/2019, 8 hours per month, commission base, not securities related. Offering fixed life insurance products to the public, providing intensive fixed life insurance product support, and providing strong effective training for insurance agents. assist with the clients to their insurance needs and their life cycle of each claim. 2. TransGlobal Advisory, LLC., Monrovia, CA, Compliance Assistant from 07/2019, 24 hours per month, Salary base. RIA firm, Securities related. Helping the supervisor to ensure TGA functions in a legal and ethical manner while meeting its business goal, including developing compliance programs, review company policies, and advising on possible risks. 3. Globalink Securities, Inc.; Financial Consultant; Investment related: Yes; 185 W Chestnut Ave, Monrovia, CA, USA 91016; Description of the business: broker-dealer firm dealing with clients' investments including stock, bond, option, mutual fund and variable products; 2019-09-24; During trading hours: 20; During outside trading hours: 0; Expected total yearly compensation derived from the business: 5.
CRS (Client Relationship Summary) - BD
Click below to view Yan Zhang'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: 2021
Experience
Current
August 22, 2022 - Present
ACE DIVERSIFIED CAPITAL, INC.
Office #1: 923 East Valley Blvd., Suite 213, San Gabriel, CA 91776BD
CRD#: 41768
San Gabriel, CA
Past
September 24, 2019 - August 31, 2022
GLOBALINK SECURITIES, INC.
BD
CRD#: 29721
Monrovia, CA
Past
August 15, 2019 - July 22, 2022
TRANSGLOBAL ADVISORY, LLC
RIA
CRD#: 168709
MONROVIA, 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(8/22/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/24/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AD
ACE DIVERSIFIED CAPITAL, INC.
ACE DIVERSIFIED CAPITAL, INC.
CRD#: 41768 / SEC#: , 8-49555
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
923 East Valley Blvd., Suite 213, San Gabriel,, CA 91776
Mailing Address
923 East Valley Blvd., Suite 213, San Gabriel,, CA 91776
Phone number
(626) 307-8300
Established
California since 07/31/1996
Firm type
Corporation
Fiscal year end
July
Firm Size
Small
# of Employees
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
