Joseph Lee (CRD# 1215252) is an Investment Advisor Representative working at Transglobal Advisory, LLC in Monrovia, CA and has over 36 years of experience in the finance industry.
CRD# 5781614
Awm Capital, LLC
CRD# 6406556
Aqua Capital Advisors
CRD# 6724246
Modern Assets, LLC
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Transglobal Advisory LLC | Monrovia, CA | Jan 2021 - Current | 3 |
| Globalink Securities, Inc. | Pasadena, Ca, CA | May 2019 - Current | 4 |
| Transglobal Insurance Agency, Inc. | Monrovia, CA | Apr 2019 - Current | 5 |
| Cetera Investment Services LLC | St Cloud, MN | Jan 2018 - Apr 2019 | 1 |
| Cetera Investment Advisers LLC | Monterey Park, CA | Jan 2018 - Apr 2019 | 1 |
| Royal Business Bank | Monterey Park, CA | Dec 2017 - Apr 2019 | 1 |
| Lpl Financial LLC | Rowland Heights, CA | Feb 2017 - Sep 2017 | < 1 |
| Cathay Bank | Rowland Heights, CA | Oct 2012 - Sep 2017 | 4 |
| Cetera Investment Advisers LLC | El Monte, CA | Jan 2014 - Feb 2017 | 3 |
| Cetera Investment Services | St. Cloud, MN | Jan 2011 - Feb 2017 | 6 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Feb 1988 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- CA
- NY
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Total Assets Under Management40MILLIONS
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Total Number of Accounts185ACCOUNTS
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Average Account Value$215,818
- A percentage of assets under your management
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CA, GA, HI, IL, LA, MA, MD, MI, NC, NJ, NV, NY, PA, TX, WA, WY
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