Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shiou-ing? Claim Your ProfileShiou-ing Diane Liou is a financial professional with over 20 years of experience in the financial services industry. Shiou-ing has held various roles at firms including Transamerica Financial Advisors, Inc., ING Financial Partners, Inc., Globalink Securities, Inc., Legacy Financial Services, Inc., World Group Securities, Inc., and WMA Securities, Inc. Shiou-ing holds Series 6, 7, 26, and 63 licenses and is also a Certified Financial Planner. Shiou-ing currently works with Transglobal Advisory, LLC and offers services such as financial planning, portfolio management for individuals and businesses, and pension consulting. Shiou-ing has experience working with clients including high-net-worth individuals, individuals other than high-net-worth, corporations or other businesses, charitable organizations, and pooled investment vehicles.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Cash management and estate planning
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
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CA
02/09/2023 - Present
Transglobal Advisory, LLC (MONROVIA CA)
CA
02/08/2005 - 11/25/2008
TRANSAMERICA FINANCIAL ADVISORS, INC. (PASADENA CA)
CT
04/06/2004 - 02/07/2005
ING FINANCIAL PARTNERS, INC. (WINDSOR CT)
CA
02/03/2004 - 04/05/2004
GLOBALINK SECURITIES, INC. (PASADENA CA)
CA
06/20/2002 - 01/28/2004
LEGACY FINANCIAL SERVICES, INC. (PETALUMA CA)
GA
04/12/2002 - 05/10/2002
WORLD GROUP SECURITIES, INC. (DULUTH GA)
GA
09/20/2001 - 04/12/2002
WMA SECURITIES, INC. (DULUTH GA)
BC
Issued 09/24/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/11/2009
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/15/2008
Series 7 - General Securities Representative Examination
BC
Issued 09/19/2001
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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