Joseph Hsioh-tsuei Lee

Transglobal Advisory, LLC

33 Years of Experience

2 DisclosuresBrokerSells Insurance

View SEC Summary

Areas of Practice

Investment ManagementRetirement PlanningTax PlanningEstate PlanningHigh Net Worth

Transglobal Advisory, LLC

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

21 advisors

Number of Clients

144 clients

Average Client Portfolio

$325K average

Assets Under Management

$46.8M

Fee Structure

Minimum Investment:$100K

Financial Planning:Investment management only

Location

185 W Chestnut Ave, Monrovia, CA, 91016

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History

Regulatory History (2)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Customer Dispute

February 2017

Settled

Employment Separation After Allegations

August 1996

View Full SEC Report How to Read Disclosures

Other Business ActivitiesSells Insurance

Joseph is a Senior Director at Transglobal Holding, conducting fixed insurance seminars, taking about half his time. He also works as a trainer/speaker for TransGlobal Advisory, LLC and is a Registered Representative for Globalink Securities, Inc.

Employment History

Current Registrations

Transglobal Advisory, LLC

January 2021 - Present · 5 yrs 1 mo

Globalink Securities, INC.Broker

May 2019 - Present · 6 yrs 9 mos

Previous Registrations

Cetera Investment Services LLCBroker

January 2018 - April 2019 · 1 yr 3 mos

Cetera Investment Advisers LLC

January 2018 - April 2019 · 1 yr 3 mos

LPL Financial LLC

March 2017 - September 2017 · 6 mos

LPL Financial LLCBroker

February 2017 - September 2017 · 7 mos

Cetera Investment Advisers LLC

January 2014 - February 2017 · 3 yrs 1 mo

Cetera Investment Services LLC

January 2011 - January 2014 · 3 yrs

Cetera Investment Services LLCBroker

January 2011 - February 2017 · 6 yrs 1 mo

LPL Financial CorporationBroker

February 2009 - July 2009 · 5 mos

Ucb Asset Management, INC.

November 2007 - March 2009 · 1 yr 4 mos

Ucb Investment Services, INC.

November 2007 - March 2009 · 1 yr 4 mos

Ucb Investment Services, INC.Broker

November 2004 - March 2009 · 4 yrs 4 mos

Fenb Securities, INC.

August 2002 - September 2002 · 1 mo

Sinopac Financial Services (USA) LTD.Broker

July 2001 - November 2004 · 3 yrs 4 mos

Brown Brothers Harriman & CO.Broker

October 2000 - May 2001 · 7 mos

Wma Securities, INC.Broker

January 1998 - April 1999 · 1 yr 3 mos

Great Western Financial Securities CorporationBroker

September 1996 - November 1996 · 2 mos

Citicorp Investment ServicesBroker

November 1995 - September 1996 · 10 mos

Suppes Securities, INC.Broker

July 1995 - November 1995 · 4 mos

Htl Securities, INC.Broker

November 1994 - August 1995 · 9 mos

Grant Bettingen, INC.Broker

November 1994 - August 1995 · 9 mos

Mariner Financial Services, INC.Broker

May 1992 - October 1994 · 2 yrs 5 mos

Kemper Securities Group, INC.Broker

September 1990 - May 1992 · 1 yr 8 mos

Bateman Eichler, Hill Richards, IncorporatedBroker

March 1990 - September 1990 · 6 mos

Lasalle St Securities, L.L.C.Broker

July 1988 - March 1990 · 1 yr 8 mos

Shearson Lehman Hutton INC.Broker

April 1988 - July 1988 · 3 mos

E. F. Hutton & Company INCBroker

January 1988 - April 1988 · 3 mos

State Registrations2 states

CANY

AdvisorBrokerBoth

Exams

No exam information available for this advisor.