SL
CFP
SL
CFP

Shiou-Ing Diane Liou

24 Years of Experience
BrokerSells Insurance
Areas of Practice
Investment ManagementRetirement PlanningTax PlanningEstate PlanningHigh Net Worth
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
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Location

185 W Chestnut Ave, Monrovia, CA, 91016

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

Shiou-Ing is a health insurance agent with Transglobal Insurance Agency, Inc., and an owner of GMP Financial Services, selling fixed life insurance and fixed annuity products, taking nearly full-time. She is also a tax preparer, a registered investment advisor with TransGlobal Advisory, LLC, and a loan officer with TransGloal Lending, dedicating minimal time to each.

Employment History
Current Registrations
Transglobal Advisory, LLC
September 2014 - Present · 11 yrs 5 mos
Globalink Securities, INC.Broker
November 2008 - Present · 17 yrs 3 mos
Previous Registrations
Transamerica Financial Advisors, INC.Broker
February 2005 - November 2008 · 3 yrs 9 mos
Ing Financial Partners, INC.Broker
April 2004 - February 2005 · 10 mos
Globalink Securities, INC.Broker
February 2004 - April 2004 · 2 mos
Legacy Financial Services, INC.Broker
June 2002 - January 2004 · 1 yr 7 mos
World Group Securities, INC.Broker
April 2002 - May 2002 · 1 mo
Wma Securities, INC.Broker
September 2001 - April 2002 · 7 mos
State Registrations7 states
CACTMANVNYSCTX
AdvisorBrokerBoth
Exams
No exam information available for this advisor.