Wayne 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.
Wayne Chang was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 2001. Wayne had worked at 10 firms and has passed the Series 63, SIE, Series 87, Series 86, Series 7, Series 55 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
July 11, 2016 - December 16, 2019
CLEARVIEW TRADING ADVISORS, INC.
October 15, 2015 - July 5, 2016
OPPENHEIMER & CO. INC.
November 19, 2013 - August 31, 2015
BOC INTERNATIONAL (USA) INC.
October 7, 2013 - October 28, 2013
AXIOM CAPITAL MANAGEMENT, INC.
July 18, 2011 - September 13, 2013
MIRAE ASSET WEALTH MANAGEMENT (USA) INC.
November 16, 2010 - August 8, 2011
BREAN CAPITAL, LLC
May 13, 2008 - November 29, 2010
CANACCORD GENUITY LLC
June 20, 2007 - May 23, 2008
PALI CAPITAL, INC.
October 5, 2006 - June 21, 2007
CANACCORD GENUITY SECURITIES LLC
March 19, 2001 - January 14, 2002
GOLDEN BENEFICIAL SECURITIES CORPORATION
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
Series 55
Date: 4/4/2001
Limited Representative-Equity Trader ExamCurrent Firm
CLEARVIEW TRADING ADVISORS, INC.
CRD#: 142873 / SEC#: , 8-67501
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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