Naiwen 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.
Naiwen Chang, who also goes by Michael W. Chang, Michael Chang, Mike Chang, was a registered financial professional .
Naiwen is a previously registered financial professional and started their career in finance in 1996. Naiwen had worked at 7 firms and has passed the Series 65, Series 63, SIE, 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
April 26, 2010 - October 30, 2015
J.P. TURNER & COMPANY, L.L.C.
October 5, 2006 - March 30, 2010
GUNNALLEN FINANCIAL, INC
June 28, 2002 - March 30, 2010
GUNNALLEN FINANCIAL, INC
June 5, 2002 - July 10, 2002
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
March 30, 2001 - July 10, 2002
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
February 25, 1998 - April 6, 2001
JOSEPHTHAL & CO., INC.
October 21, 1997 - February 25, 1998
FIRST METROPOLITAN SECURITIES, INC.
October 7, 1997 - October 24, 1997
SHAMUS GROUP, INC.
September 6, 1996 - October 28, 1997
PRIME CHARTER LTD.
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
Current Firm
J.P. TURNER & COMPANY, L.L.C.
CRD#: 43177 / SEC#: , 8-50156
Contact information
Documents
Disclosures
| Regulatory Event | 30 |
| Arbitration | 12 |
Red Flags
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