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Chiwen Chang

CRD# 1752170·Registered 1987 - 2018
Previously Registered: Being a previously registered professional could mean that Chiwen is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Chiwen Chang, who also goes by Chi Wen Chang, was a registered financial advisor. Chiwen was a previously registered financial professional and started their career in finance 1987 - 2018. Chiwen had worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Chi Wen Chang

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

32 years in the financial services industry

Current & Past Employments

FINANCIAL SCIENCES, INC.·CRD# 6653
BD
Boston, MA
March 27, 1995 - January 10, 2018
AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363
BD
Minneapolis, MN
October 20, 1987 - December 19, 1988

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Current Firm

FS
FINANCIAL SCIENCES, INC.

FINANCIAL SCIENCES, INC.

CRD#: 6653 / SEC#: 8-17925
BD
Terminated by SEC on 01/21/2022

Contact Information

Established

Massachusetts since 01/05/1974

Firm Type

Corporation

Fiscal Year End

March

Documents

Direct owners and executive officers

NamePositionCRD#
LIEN, MEI SHIENDIRECTOR, SHAREHOLDER1461855
LEE, LESLIE LIENPRESIDENT, CEO, SHAREHOLDER1546537
LIEN, LESTERDIRECTOR, SHAREHOLDER4862566
LIEN, LYNDONSHAREHOLDER—
CHIEN, YUN-YINGTREASURER, CFO, CCO2349701

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed May 1995About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Jan 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Mar 1995About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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