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Detailed Report
VICTOR HUANG-CHIANG LIN
CRD#: 4351482
IA
Investment Adviser
B
Broker
GRIFFINEST ASIA ASSET MANAGEMENT, LLCCRD#: 306355 301 N. LAKE AVE.,
SUITE 110
PASADENA, CA 91101
GRIFFINEST ASIA SECURITIES, LLCCRD#: 132187 301 NORTH LAKE AVENUE
SUITE 110
PASADENA, CA 91101
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2004 - 2005 (<1 year)IAGRIFFINEST ASIA ASSET MANAGEME... (CRD# 306355)2020 - Present (5 years)BGRIFFINEST ASIA SECURITIES, LLC (CRD# 132187)2005 - Present (19 years)BCORE PACIFIC SECURITIES USA LLC (CRD# 44442)2001 - 2004 (2 years)BU. S. PACIFIC FINANCIAL SERVIC... (CRD# 17423)2001 - 2001 (<1 year)IAGRIFFINEST ASIA ASSET MANAGEME... (CRD# 131973)2005 - 2014 (9 years)
License(s)

State Registrations

B
California 6/22/2005
B
Delaware 8/6/2021
IA
California 1/3/2020

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
GRIFFINEST ASIA ASSET MANAGEMENT, LLC (CRD#:306355)
301 N. LAKE AVE., SUITE 110, PASADENA, CA 91101
Registered with this firm since 1/3/2020
B
GRIFFINEST ASIA SECURITIES, LLC (CRD#:132187)
301 NORTH LAKE AVENUE SUITE 110, PASADENA, CA 91101
301 NORTH LAKE AVENUE SUITE 110, PASADENA, CA 91101
Registered with this firm since 6/22/2005
Previous Registration(s)
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IA
 09/07/2005 - 11/23/2014 GRIFFINEST ASIA ASSET MANAGEMENT, LLC (CRD#:131973) PASADENA, CA
IA
 05/12/2004 - 04/05/2005 REDWOOD SECURITIES GROUP, INC. (CRD#:27536) CITY OF INDUSTRY, CA
B
 05/12/2004 - 04/05/2005 REDWOOD SECURITIES GROUP, INC. (CRD#:27536)
FINRA expelled the firm on 10/30/2008
SAN FRANCISCO, CA
B
 06/18/2001 - 05/04/2004 CORE PACIFIC SECURITIES USA LLC (CRD#:44442) COVINA, CA
B
 04/04/2001 - 06/01/2001 U. S. PACIFIC FINANCIAL SERVICES, INC. (CRD#:17423) 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.