Richard A. Chiang
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.
Richard Anthony Chiang, who also goes by Rich Chiang, Richard Chiang, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1990. Richard had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2011 - August 22, 2012
MUTUAL FUND SPECIALISTS, INC.
January 14, 1999 - April 29, 1999
ROTH CAPITAL PARTNERS, LLC
December 20, 1994 - January 19, 1999
J.P. MORGAN SECURITIES LLC
July 26, 1990 - January 3, 1995
WEDBUSH SECURITIES INC.
March 20, 1990 - August 17, 1990
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MUTUAL FUND SPECIALISTS, INC.
CRD#: 35739 / SEC#: , 8-47137
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TOELKE, ROGER ALAN | PRESIDENT/CHIEF COMPLIANCE OFFICER | 2639825 |
Disclosures
| Regulatory Event | 2 |
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.
