Unclaimed Profile

Joseph Hsioh-Tsuei Lee

TRANSGLOBAL ADVISORY, LLC·MONROVIA, California

SIE, Series 7, Series 24, Series 6323 years registeredTRANSGLOBAL ADVISORY, LLC

185 W CHESTNUT AVE, MONROVIA, CA 91016CRD# 1215252Firm CRD# 168709

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Joseph Hsioh-Tsuei Lee · MONROVIA, CA

Registration

CRD #1215252 · TRANSGLOBAL ADVISORY, LLC · 23 years registered

Brand Profile

Not yet started

Career History

TRANSGLOBAL ADVISORY, LLC

Jan 2021 – present

CETERA INVESTMENT ADVISERS LLC

Jan 2018 – Apr 2019

MONTEREY PARK, CA

LPL FINANCIAL LLC

Mar 2017 – Sep 2017

ORANGE, CA

CETERA INVESTMENT ADVISERS LLC

Jan 2014 – Feb 2017

ROWLAND HEIGHTS, CA

CETERA INVESTMENT SERVICES LLC

Jan 2011 – Jan 2014

IRVINE, CA

UCB ASSET MANAGEMENT, INC.

Nov 2007 – Mar 2009

CITY OF INDUSTRY, CA

UCB INVESTMENT SERVICES, INC.

Nov 2007 – Mar 2009

ROWLAND HEIGHTS, CA

FENB SECURITIES, INC.

Aug 2002 – Sep 2002

INDUSTRY, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 63

Registration record

First registered · August 22, 2002

Years registered · 23

Disclosure History

2017Customer Dispute·Settled

1996Employment Separation After Allegations

2 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

TRANSGLOBAL ADVISORY, LLC

CRD 168709 · SEC 801-129096

AUM

$40M

Regulatory assets under management

Employees

185 client accounts

Services offered by TRANSGLOBAL ADVISORY, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Pension consulting

Selection of other advisers

Publication of periodicals/newsletters

Other

Client types served by the firm

Per Form ADV

Individuals

Pension & Retirement Plans

High Net Worth Individuals

View all advisors at TRANSGLOBAL ADVISORY, LLC →

Introduction

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Frequently Asked Questions

What services does Joseph Hsioh-Tsuei Lee offer?

Joseph Hsioh-Tsuei Lee specializes in Financial Planning, Investment Management, Retirement Planning, Wealth Management. Contact their office in MONROVIA, California for a consultation.

What are Joseph Hsioh-Tsuei Lee's credentials?

Joseph Hsioh-Tsuei Lee is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Joseph Hsioh-Tsuei Lee located?

Joseph Hsioh-Tsuei Lee is based in MONROVIA, California, working with TRANSGLOBAL ADVISORY, LLC. Their office serves clients in the MONROVIA metropolitan area and surrounding communities.

How does Joseph Hsioh-Tsuei Lee charge for services?

Joseph Hsioh-Tsuei Lee's firm is compensated through percentage of aum, subscription fees, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is TRANSGLOBAL ADVISORY, LLC?

TRANSGLOBAL ADVISORY, LLC has approximately 29 employees and manages $40M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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