Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sichen? Claim Your ProfileSichen Li is a financial advisor at Transglobal Advisory, LLC, an independent investment advisor. Sichen Li is registered with FINRA and the state of California, and is also an insurance agent with Transglobal Insurance Agency, Inc. Sichen Li's primary focus is on providing financial advice to individuals, families, and businesses. She offers a range of services, including financial planning, portfolio management, and cash management. Sichen Li holds Series 6, 7, 63, and 65 licenses and the Securities Industry Essentials Examination (SIE). She also holds a Bachelor of Science degree in Finance. Sichen Li has a strong commitment to helping her clients achieve their financial goals.
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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2
CA
03/19/2018 - Present
Transglobal Advisory, LLC (MONROVIA CA)
CA
10/28/2016 - 01/17/2018
ONEAMERICA SECURITIES, INC. (NEWPORT BEACH CA)
CA
12/19/2014 - 06/10/2016
AXA ADVISORS, LLC (IRVINE CA)
IA
Issued 10/12/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/09/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/01/2016
Series 7 - General Securities Representative Examination
BC
Issued 12/19/2014
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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