Shuning Li
Investment Adviser Representative at Transglobal Advisory, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Shuning Li is an investment adviser representative with Transglobal Advisory, LLC in Duluth, GA, where they have been registered since 2023. They have worked in the securities industry since 2019 and were previously registered with Transamerica Financial Advisors, Inc. They have passed 4 industry qualification exams, including the Series 65 (investment adviser), Series 63 (state securities agent), and Series 6 (investment company and variable products). They are registered to provide investment advice in Georgia.
Registrations & licenses
- Investment adviser:
- Georgia
- Broker:
7 states and territories
California, Florida, Georgia, Maryland, New Jersey, Texas, Virginia
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Transamerica Financial Advisors, IncDec 2018 – Sep 2022Lake Mary, GA
- World Financial Group, Inc.Nov 2016 – Sep 2022Lake Mary, FL
- Panusino Consulting LLCSep 2016 – Sep 2019Marietta, GA
- Globalink Secuities, IncOct 2022 – no end date reportedPasadena, CA
- Transglobal Insurance Agency, Inc.Oct 2022 – no end date reportedGainesville, FL
- TransGlobal Advisory LLCFeb 2022 – no end date reportedDuluth, GA
- Transamerica Financial AdvisorsSep 2019 – Sep 2022Lake Mary, GA
Official records & sources
Data as of June 27, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Transglobal Advisory, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Fixed fee
- Performance-based fees
- Firm account minimum
- $100,000 (waivable)
- $100,000 - $999,9991.25%
- $1,000,000 - $2,999,9991.00%
- $3,000,000 - $4,999,9990.90%
- $5,000,000 - $9,999,9990.80%
+2 more tiers on the firm profile
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
Under $100M
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 32
- Offices listed on AdvisorFinder:
- 15
- Main office:
- Monrovia, CA
- SEC file number:
- 801-129096
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 23, 2026
View full firm profileOther advisors at Transglobal Advisory, LLC
Showing 12 of 32 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Shuning Li has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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