Peter H. Chang
Professional summary
Being a previously registered professional could mean that this person 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.
Peter Henry Chang, who also goes by Peter H Chang, Peter Henry Chang, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1999. Peter had worked at 9 firms and has passed the Series 63, Series 66, Series 65, SIE, Series 7 and Series 2 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 18, 2026 - September 10, 2026
FIFTH THIRD SECURITIES, INC.
June 21, 2023 - October 19, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 21, 2023 - October 19, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 22, 2022 - June 1, 2023
SISUNG INVESTMENT MANAGEMENT SERVICES LLC
August 19, 2022 - June 1, 2023
SISUNG SECURITIES CORPORATION
July 17, 2020 - September 11, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 19, 2020 - September 11, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 31, 2018 - May 1, 2019
SISUNG SECURITIES CORPORATION
May 6, 2015 - June 8, 2016
INTERCOASTAL CAPITAL MARKETS, INC.
October 23, 2014 - April 28, 2015
SISUNG SECURITIES CORPORATION
February 2, 2010 - November 26, 2012
COWEN AND COMPANY
October 31, 2002 - December 31, 2009
RAMIUS SECURITIES LLC
January 1, 2001 - January 30, 2002
CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC
January 27, 1999 - January 1, 2001
PERSHING LLC
Primary Firm SEC Registration
FIFTH THIRD SECURITIES, INC.
CRD#: 628 / SEC#: 801-63623, 8-2428
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
What does exam status mean?
Current Firm
FIFTH THIRD SECURITIES, INC.
CRD#: 628 / SEC#: 801-63623, 8-2428
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIFTH THIRD BANK, NATIONAL ASSOCIATION | OWNER | |
| CORSARIE, ROBERT ALBERT | DIRECTOR, HEAD OF RETAIL BROKERAGE | 2213136 |
| JACOBS, JARRETT ANDREW | DIRECTOR, BD CHIEF COMPLIANCE OFFICER/RIA CHIEF COMPLIANCE OFFICER | 3190249 |
| JOHNSON MOBLEY, SHANNON | DIRECTOR, REGIONAL INVESTMENT MANAGER | 2583704 |
| KELLY, GINGER MICHELLE | DIRECTOR, CHIEF ADMINISTRATIVE OFFICER - RETAIL | 2357692 |
| LUDWICK, JAMES PAUL | DIRECTOR, EXECUTIVE DIRECTOR OF INSTITUTIONAL BUSINESS | 4286771 |
| LYONS, TIMOTHY | DIRECTOR, MANAGING DIRECTOR-TRADING | 2544688 |
| MARCUS, ROBERT FRANKLIN | DIRECTOR, HEAD OF CAPITAL MARKETS | 2512810 |
| OVERMANN, JUSTIN MICHAEL | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 4419793 |
| STRATMOEN, CHRISTOPHER SCOTT | DIRECTOR, PRINCIPAL FINANCIAL OFFICER | 5873893 |
Regulatory assets under management
| Total Number of Accounts | 47,014 |
| AUM (Assets Under Management) | $ 10,924,793,999 |
Disclosures
| Regulatory Event | 38 |
| Arbitration | 19 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/20/2025 | ||
| 08/26/2024 | ||
| 10/20/2023 |
Red Flags
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.
