Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
STEVEN FAN
YANG TUNG FAN
CRD#: 4039972
IA
Investment Adviser
B
Broker
GLOBALINK WEALTH MANAGEMENT, LLCCRD#: 323294 3452 EAST FOOTHILL BLVD.
SUITE 1040
PASADENA, CA 91107
GLOBALINK SECURITIES, INC.CRD#: 29721 3452 E FOOTHILL BLVD.
STE 1040
PASADENA, CA 91107
Registration History
20002002200420062008201020122014201620182020202220242026IAGLOBALINK WEALTH MANAGEMENT, LLC (CRD# 323294)2024 - Present (1 year)BGLOBALINK SECURITIES, INC. (CRD# 29721)2006 - Present (18 years)BSTOCKS 4 LESS, INC. (CRD# 42666)2003 - 2004 (1 year)BNATIONAL CLEARING CORP. (CRD# 14343)2000 - 2003 (3 years)BFORTUNE SECURITIES, INC. (CRD# 40821)1999 - 2000 (<1 year)IATRANSGLOBAL ADVISORY, LLC (CRD# 168709)2022 - 2022 (<1 year)IATRANSGLOBAL ADVISORY, LLC (CRD# 168709)2021 - 2021 (<1 year)IATRANSGLOBAL ADVISORY, LLC (CRD# 168709)2018 - 2019 (<1 year)IATRANSGLOBAL ADVISORY, LLC (CRD# 168709)2015 - 2017 (2 years)
Disclosure(s)
View By:
5/31/2016
Criminal
Final Disposition
License(s)

State Registrations

B
California 2/21/2007
IA
California 4/9/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
GLOBALINK WEALTH MANAGEMENT, LLC (CRD#:323294)
3452 EAST FOOTHILL BLVD. SUITE 1040, PASADENA, CA 91107
Registered with this firm since 4/9/2024
B
GLOBALINK SECURITIES, INC. (CRD#:29721)
3452 E FOOTHILL BLVD. STE 1040, PASADENA, CA 91107
3452 EAST FOOTHILL BOULEVARD SUITE 1040, PASADENA, CA 91107
Registered with this firm since 12/12/2006
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/16/2022 - 06/30/2022 TRANSGLOBAL ADVISORY, LLC (CRD#:168709) MONROVIA, CA
IA
 02/03/2021 - 02/26/2021 TRANSGLOBAL ADVISORY, LLC (CRD#:168709) MONROVIA, CA
IA
 10/09/2018 - 02/05/2019 TRANSGLOBAL ADVISORY, LLC (CRD#:168709) MONROVIA, CA
IA
 08/04/2015 - 10/10/2017 TRANSGLOBAL ADVISORY, LLC (CRD#:168709) MONROVIA, CA
B
 10/28/2003 - 11/12/2004 STOCKS 4 LESS, INC. (CRD#:42666) SHERMAN OAKS, CA
B
 10/02/2000 - 10/28/2003 NATIONAL CLEARING CORP. (CRD#:14343) SHERMAN OAKS, CA
B
 12/14/1999 - 10/19/2000 FORTUNE SECURITIES, INC. (CRD#:40821) ALHAMBRA, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.