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TC

Tracy S. Chang

Some features on this profile are disabled
CRD#: 2535309
TC

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.

Tracy Sheldon Chang, who also goes by Sheldon Chang, T S Chang, Tracy S Chang, was a registered financial professional .

Tracy is a previously registered financial professional and started their career in finance in 1994. Tracy had worked at 7 firms and has passed the Series 66, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sheldon Chang | T S Chang | Tracy S Chang

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 4, 2022 - August 13, 2025

CROWDSTREET CAPITAL LLC

BD
CRD#: 312762
NEW YORK, NY
Past

August 22, 2019 - June 2, 2020

ALPHAMAX DISTRIBUTORS, L.L.C.

BD
CRD#: 8258
New York, NY
Past

September 22, 2017 - September 28, 2018

ARTIVEST BROKERAGE LLC

BD
CRD#: 168218
NEW YORK, NY
Past

March 1, 2017 - May 1, 2017

PANTHEON SECURITIES, LLC

BD
CRD#: 285480
NEW YORK, NY
Past

April 9, 2014 - February 28, 2017

AMG DISTRIBUTORS, INC.

BD
CRD#: 27314
New York, NY
Past

November 14, 2007 - September 9, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NEW YORK, NY
Past

June 15, 2007 - September 9, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

January 10, 2005 - May 15, 2007

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

November 4, 1994 - April 9, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/13/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/28/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/14/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/19/2001
General Securities Principal Examination

Current Firm

CC
CROWDSTREET CAPITAL LLC
CROWDSTREET CAPITAL LLC

CRD#: 312762 / SEC#: , 8-70724

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
10 East 40th Street Suite 1020, New York, NY 10016
Mailing Address
10 East 40th Street Suite 1020, New York, NY 10016
Phone number
(888) 432-7693
Established
Delaware since 04/03/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CROWDSTREET, INC.OWNER
BROWN, SCOTTFINOP6694802
HOWELL, KRISTEN LEIGHPRESIDENT
ROTH, STEPHANIE ANNECHIEF COMPLIANCE OFFICER5636965

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.

Company Information

CROWDSTREET CAPITAL LLC

CRD#: 312762

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