Xi Yao

GLOBALINK WEALTH MANAGEMENT

Pasadena, CA 91107

Some features on this profile are disabled

CRD#: 7461887

Professional summary

Xi Yao is a registered financial advisor currently at GLOBALINK WEALTH MANAGEMENT, LLC located in Pasadena, California and GLOBALINK SECURITIES, INC. located in Monrovia, California.

Xi is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Xi has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO, 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.

Transpacific Financial, Inc., Irvine, California, Fixed Life Insurance Agent from 03/31/2020, 80 hours per month, commission based. Fixed Life Insurance Product Producer.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Xi Yao'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®

None

Experience

Current

January 27, 2025 - Present

GLOBALINK WEALTH MANAGEMENT, LLC

Office #1: 3452 East Foothill Blvd. Suite 1040, Pasadena, CA 91107

RIA

CRD#: 323294

Pasadena, CA

Current

November 11, 2021 - Present

GLOBALINK SECURITIES, INC.

Office #1: 185 W Chestnut Ave,, Monrovia, CA 91016

CRD#: 29721

Monrovia, CA

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.

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

California
(11/11/2021)

IAR

California
(1/27/2025)

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

State Security Law Exam

IAR

Series 65

Date: 4/18/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/22/2021

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/14/2025

General Securities Representative Examination

General Industry/Product Exam

Series 6TO

Date: 11/10/2021

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 9/22/2021

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

GLOBALINK WEALTH MANAGEMENT, LLC

CRD#: 323294 / SEC#:

California

Registered Investment Advisory firm - (3/16/2023 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

3452 East Foothill Blvd. Suite 1040, Pasadena, CA 91107

Mailing Address

Phone number

(626) 964-5966

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	48
AUM (Assets Under Management)	$ 12,558,103

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.

Similar Advisors

John Powell

EQUITABLE ADVISORS, LLC

IAR

Los Angeles, CA

Danielle Barrios

MORGAN STANLEY

IAR

Beverly Hills, CA

Maria Zimiga

J.P. MORGAN SECURITIES LLC

Toluca Lake, CA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Xi Yao

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Xi Yao's CRS (Customer Relationship Summary).

Certified licenses

Experience

GLOBALINK WEALTH MANAGEMENT, LLC

GLOBALINK SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/18/2023

Series 63

Date: 10/22/2021

Series 7TO

Date: 3/14/2025

Series 6TO

Date: 11/10/2021

SIE

Date: 9/22/2021

FINRA

Current Firm

GLOBALINK WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GLOBALINK WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors