Chang S. Han
Professional summary
Chang Soo Han is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Duluth, Georgia and CETERA ADVISORS LLC located in Duluth, Georgia.
Chang is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Chang has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Chang Soo Han's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 4, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 7960 Wentworth Drive, Duluth, GA 30097September 8, 2022 - Present
CETERA ADVISORS LLC
July 2, 2012 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
August 21, 2007 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
August 15, 2007 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
May 14, 2004 - September 10, 2007
CENTAURUS FINANCIAL, INC.
May 14, 2004 - September 10, 2007
CENTAURUS FINANCIAL, INC.
July 30, 2002 - June 4, 2004
EQUITABLE ADVISORS, LLC
September 15, 1982 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
September 15, 1982 - June 4, 2004
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/8/2022)
(9/8/2022)
(11/4/2020)
(9/8/2022)
(9/8/2022)
(9/8/2022)
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(9/8/2022)
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(9/8/2022)
(9/8/2022)
(11/12/2020)
(9/8/2022)
(9/8/2022)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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