Yang Li Wu
Investment Adviser Representative at Transglobal Advisory, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Yang Li Wu is an investment adviser representative with Transglobal Advisory, LLC in Cary, NC, where they have been registered since 2021. They have worked in the securities industry since 2019 and were previously registered with Transamerica Financial Advisors, Inc. They have passed 5 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in North Carolina.
Registrations & licenses
- Investment adviser:
- North Carolina
- Broker:
4 states and territories
California, Georgia, North Carolina, Texas
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, IncApr 2019 – Nov 2019Morrisville, NC
- World Financial Group, Inc.Apr 2019 – Nov 2019Morrisville, NC
- FONVILLE MORISEY REALTY (A long amp; foster company)Mar 2019 – Aug 2019Cary, NC
- UnemployedOct 2018 – Mar 2019Cary, NC
- Pinebridge Investments Management Taiwan LimitedNov 2015 – Oct 2018Taipei
- Globalink Securities, IncApr 2020 – no end date reportedPasadena, CA
- Transglobal Insurance Agency, Inc.Nov 2019 – no end date reportedCary, NC
- TransGlobal Advisory LLCNov 2021 – no end date reportedMorovia, CA
- Goldstone Financial Service LLCMay 2021 – no end date reportedOak Terrace, IL
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
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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. Yang Li Wu 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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