Chingyuan Chang
Professional summary
Chingyuan Chang was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Chingyuan is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Chingyuan had worked at 8 firms, which includes MORGAN STANLEY, CETERA INVESTMENT ADVISERS LLC, CETERA INVESTMENT SERVICES LLC, SINOPAC FINANCIAL SERVICES (USA) LTD., PCI*TRADE SECURITIES, ASI INVESTMENTS INC., MILESTONE FINANCIAL SERVICES INC., BESTRADE INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 2016 - August 9, 2022
MORGAN STANLEY
February 2, 2016 - August 9, 2022
MORGAN STANLEY
January 21, 2014 - January 8, 2016
CETERA INVESTMENT ADVISERS LLC
March 4, 2013 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
February 13, 2013 - January 8, 2016
CETERA INVESTMENT SERVICES LLC
July 30, 2007 - January 22, 2008
CETERA INVESTMENT SERVICES LLC
July 30, 2007 - January 22, 2008
CETERA INVESTMENT SERVICES LLC
December 6, 2006 - July 2, 2007
CETERA INVESTMENT SERVICES LLC
October 20, 2006 - July 2, 2007
CETERA INVESTMENT SERVICES LLC
June 12, 2003 - August 31, 2004
SINOPAC FINANCIAL SERVICES (USA) LTD.
April 18, 2001 - August 4, 2003
PCI*TRADE SECURITIES
February 18, 2000 - April 9, 2001
ASI INVESTMENTS, INC.
October 19, 1999 - December 20, 1999
MILESTONE FINANCIAL SERVICES, INC.
January 1, 1999 - November 15, 1999
BESTRADE INC.
August 14, 1997 - October 5, 1998
PCI*TRADE SECURITIES
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
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
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
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.
