TrueAdvisor
TrueAdvisor
JL
JL

Joseph Lee

Transglobal Advisory, LLC
33 Years of Experience
Monrovia, CA
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Joseph Lee is a registered investment advisor at Transglobal Advisory, LLC, based in Monrovia, CA, with 33 years of industry experience. Joseph is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, High Net Worth, and 4 more. Their firm serves 193 clients with $58M in assets under management.

Transglobal Advisory, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
33 advisors
Number of Clients
193 clients
Average Client Portfolio
$302K average
Assets Under Management
$58.3M

Fee Structure

Minimum Investment:$100K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M1.50%
$1.0M - $3.0M1.25%
$3.0M - $5.0M1.10%
$5.0M - $10.0M1.00%
$10.0M - $50.0M0.90%
$50M+0.90%

Fixed income accounts generally charged 0.25%. Fees are generally negotiable. Minimum account size is $100,000.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

185 W Chestnut Ave, Monrovia, CA, 91016

Get directions

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 ReportHow 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 9 mos
Globalink Securities, INC.Broker
May 2019 - Present · 7 yrs 5 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

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
More Advisors
More financial advisors in Monrovia, CA →All financial advisors in California →