We get tremendous support from LPL. Joining is the best decision we've ever made.

- Tina Sun, Taurus Financial

Entrepreneurism and experience leads to a partnership destined for success

A passion for finance brought Tina Sun and Yisha Wang together when their paths crossed in 2016 at a financial industry conference. They realized with their combined backgrounds and desire to work for themselves, building a business together would be the next step in their careers.

Sun moved to the U.S. from China to earn her master's degree in financial engineering, and spent the next 10 years at a global investment bank. Her daily responsibilities included designing and distributing financial products to institutions and advisors. Engaging with advisors compelled her to earn her Certified Public Accountant (CPA) designation and become an advisor herself. With her deep understanding of financial products and markets, as well as her wide network of major product providers, Sun feels she’s able to better serve her clients.

Wang, who is also from China, started her career as a CPA at a multinational accounting firm, and then spent several years at a Fortune 500 investment bank. After meeting Sun and learning about financial advisory, Wang’s well-rounded background enabled her to obtain her Certified Financial Planner (CFP®) license quickly.

“Tina is a person who has a vision, so I was willing to join her,” said Wang. “She told me about the industry and because I already had my CPA, I thought it was very interesting. It turns out I made the very right decision.”

Founded in 2016, Taurus Financial mainly services two types of clients: those in large Silicon Valley-based technology corporations, and entrepreneurs running small businesses such as doctors, dentists, and lawyers. Their technology clients frequently ask for advice on equity compensation, trust and estate planning, and complex investments. As for their small-business clients, Sun and Wang are a one-stop shop, providing them with business solutions such as payroll assistance, bookkeeping, tax filing, group health insurance services, and retirement planning assistance.

In this video, Sun and Wang share how their combined expertise and breadth of client services are the keys to their continued success.

Tina Sun:

I've been really into finance ever since I was a kid. I liked it so much that I decided to take finance as my major in college. And after that I thought, why not take it one step further? So I went home and got my master's degree in financial engineering.

Tina Sun:

My name is Tina Sun. Currently, I'm a partner at Taurus Financial.

Yisha Wang:

When I made the decision to be a financial advisor, I already had a solid base of tax and investment. So, thanks to my time on Wall Street, I obtained the CFP license and became a Certified Financial Planner very quickly.

Yisha Wang:

I'm Yisha Wang. I have been a partner at Taurus Financial for six years.

Tina Sun:

We have two typical clienteles that we specialize in. The first clientele are big-company employees, and many of them are working at big tech firms. And the most frequently asked questions from them are equity compensations, concentrated positions, trust and estate planning, and complex investments. And the second clientele is small business and business owners. And many of those businesses are in the professional service industry, like a doctor’s office, dentist office, law firms. And recently we've started to have more important Silicon Valley startups as our clients. And we provide a one-stop-shop solution to them — from payroll to bookkeeping to tax filing to group health insurance or retirement plans.

Yisha Wang:

We truly believe only a holistic plan, holistic planning, that including both tax and the financial planning, can provide a client with the true guide to meet their financial goals. So financial planning is our tool to guide clients toward their monetary goals. However, a plan isn't complete without considering tax, right? So, tax can significantly affect your returns. So that's where tax planning comes in. Make sure the client understand the tax to lower their tax liability.

Tina Sun:

But insurance itself is more just a product, it is a tool. And when properly leveraged, insurance can become a very powerful tool, especially estate planning scenarios. By establishing ourselves as specialists in this area, we are able to connect with a lot of estate attorneys, and CPAs in this area. And this experience and this connection truly got us many quality referrals as well.

Tina Sun:

Right now we have clients in over 30 states. And many of the clients, I would say 95% of them, we've never met. As our tagline goes, "Wall Street knowledge, boutique experience." So what really differentiates us are two things: knowledge that we possess and experience that we deliver to our clients. I would say the number one reason that we get so many referrals is our knowledge from years of experience handling complicated investment products and tax situations. The best compliment we can ever get is a referral, and our entire practice is just based on referrals.

Yisha Wang:

Hearing their feedback, knowing that I have made an impact is incredibly rewarding.

Tina Sun:

Choosing a right broker-dealer is probably the most important decision for new advisors. And it is almost like a marriage. And LPL is the best of the best in this industry.

Tina Sun:

I will say the most important offerings from LPL, for us, is structured product and alternative investments. And because our clients are very sophisticated, they might even have multiple advisors. And because we've got the knowledge and experience, and LPL's offerings, we know that we are their go-to advisors.

Tina Sun:

I choose LPL because LPL is a firm that can give us the freedom and autonomy to run our own business. And at LPL, the support team takes care of the day-to-day operational aspects of the business, so we can focus 100% of our time just helping our clients.

Tina Sun:v

At LPL, we are not, we are not employees. It's like a strategic partnership. I would say joining LPL has been one of the best decision I've ever made.

Reach your clients’ goals with a holistic approach

Sun and Wang believe in offering diversified services to their clients, including tax and financial planning, and insurance options.

“We can provide a client with a true guide to meet their financial goals,” said Wang. “Financial planning is a tool to guide clients toward their monetary goals. However, a plan isn't complete without considering tax, as tax can significantly affect their returns.”

Sun and Wang feel by providing both tax and financial planning, they offer their clients a comprehensive, streamlined service that not only grows their clients’ wealth, but also retains wealth post-tax, helping clients reach their goals “efficiently and effectively”.

Taurus Financial has also been one of the top insurance producers at LPL Financial for several years. The practice was LPL’s No. 1 producer in 2022.

“I always tell our clients that insurance is not for everyone,” Sun said. “If you're financially self-sufficient and won't have estate tax issues, you may not need insurance. But insurance is more than just a product — it is a tool when properly leveraged.”

By offering a variety of financial services, Taurus Financial has positioned themselves as specialists in certain areas, which has created a wide network of high-net-worth clients, that, in turn, has led to numerous referrals.

The power of successful client experiences and satisfaction

When Sun and Wang founded Taurus Financial, they didn’t have any clients, and have since grown their practice to more than 1,000 clients in over 30 states. Their practice is based solely on word-of-mouth referrals. They haven’t met 95% of their clients in person, showcasing how recommendations from one person to another in the same company or same city is helping them achieve success.

Sun says, “Our tagline is, ‘Wall Street knowledge, boutique experience’.” She feels what differentiates Taurus Financial from other firms is the value-add experiences they deliver to their clients and the advanced knowledge she and Wang possess.

“The number one reason we get so many referrals is due to our many years of experience handling complicated investment products and complex tax-planning situations,” said Sun. 

Both Sun and Wang feel a sense of accomplishment when a client recommends their business to a colleague or friend. Wang said, “The best moments for me are when a client says, ‘Thank you for making this so clear for me. Your help has made a huge difference.’ Knowing I made an impact is incredibly rewarding.”

Advisor diversity support and resources through LPL

Considering themselves triple minorities and both being first-generation immigrants, Sun and Wang feel finding the right peer group in the financial advisor community is important for their personal development and the growth of their practice. 

“We're women, we're women of color, and we’re first-generation immigrants. I came to the U.S. when I was 22 years old and English is not my native language,” said Sun. “The LPL advisor community truly creates a sharing experience for all advisors. It doesn’t matter whether you’ve already developed a mature practice or if you’re like me, someone who still has a long career ahead.”

Sun describes attending LPL diversity advisor events where she meets peers who ask questions and share ideas. They discuss industry trends, best practices, mentorship opportunities, and useful business tools such as planning software, billing systems, digital marketing resources, and more. She finds coming together in these forums helps her “grow as a businesswoman and as a person.”

Taurus Financial is comprised of English-, Mandarin-, and Cantonese-speaking team members and Sun remarks it's no surprise that many of their clients are first-generation immigrants from China. She feels there are too few Asian advisors in the industry and encourages anyone within that heritage to explore a career in finance.

How partnering with LPL makes a difference

Sun and Wang feel the most important offerings from LPL are the structured products and amount of alternative investment options.

The Taurus Financial team also appreciates that they feel heard and supported as a partner by LPL leadership. “When we have someone from the LPL leadership team come to us and listen to what we truly need, that’s very powerful,” said Sun.

Sun and Wang chose to join LPL because they enjoy the freedom to leverage their investment bank experiences and run their own business. The resources they receive on the day-to-day operational side from LPL allows them to focus on helping their clients work toward their financial goals.

Sun said, “I always say we were born and raised with LPL because they provided tremendous support and education in our early days. At LPL, we are not employees. It's a strategic partnership.”

Featured in the video

Tina Sun, Partner and Co-Founder, CFA®, CAIA, EA

Yisha Wang, Partner and Co-Founder, CPA, CFP®

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Securities and advisory services offered through LPL Financial (LPL), a registered investment advisor and broker-dealer (member FINRA/SIPC).

The views and opinions expressed by the financial advisor(s) may not be representative of the views of other financial advisors and are not indicative of future performance or success. Neither LPL Financial nor the financial advisors can be held responsible for any direct or incidental loss incurred by applying any of the information offered.

Taurus Financial is a separate entity from LPL Financial.

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