Henry C. Chang

LAIDLAW & COMPANY (UK) LTD.

Pasadena, CA 91101

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CRD#: 4049732

Professional summary

Henry Chia-how Chang was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Henry Chia-how Chang is a registered financial professional currently at LAIDLAW & COMPANY (UK) LTD. located in Pasadena, California.

Henry is registered as a RR (Registered Representative) and started their career in finance in 1999. Henry has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

Click below to view Henry Chia-how Chang's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

March 24, 2021 - Present

LAIDLAW & COMPANY (UK) LTD.

Office #1: 680 E. Colorado Boulevard Suite 180, Pasadena, CA 91101

CRD#: 119037

Pasadena, CA

Past

March 25, 2021 - March 5, 2025

LAIDLAW WEALTH MANAGEMENT LLC

RIA

CRD#: 150040

Pasadena, CA

Past

October 21, 2015 - February 25, 2021

MORGAN STANLEY

RIA

CRD#: 149777

PASADENA, CA

Past

October 20, 2015 - February 25, 2021

MORGAN STANLEY

CRD#: 149777

PASADENA, CA

Past

May 29, 2007 - November 6, 2015

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

TEMPLE CITY, CA

Past

May 29, 2007 - November 6, 2015

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

TEMPLE CITY, CA

Past

July 12, 2004 - May 29, 2007

CITICORP INVESTMENT SERVICES

RIA

CRD#: 23988

ROWLAND HEIGHTS, CA

Past

July 12, 2004 - May 29, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

ROWLAND HEIGHTS, CA

Past

May 30, 2003 - July 15, 2004

WAMU INVESTMENTS, INC.

RIA

CRD#: 599

ALHAMBRA, CA

Past

May 30, 2003 - July 15, 2004

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

July 24, 2000 - May 2, 2003

GATEWAY INVESTMENT SERVICES, INC.

CRD#: 31153

OAK PARK, IL

Past

November 26, 1999 - July 13, 2000

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(3/24/2021)

Exams

State Security Law Exam

IAR

Series 66

Date: 12/9/1999

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/24/1999

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

LAIDLAW & COMPANY (UK) LTD.

LAIDLAW & COMPANY (UK) LTD. | SANDS BROTHERS INTERNATIONAL LTD.

CRD#: 119037 / SEC#: , 8-53731

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

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Contact information

Main Address

16 Berkeley St. Suite 7.09, London, W1J 8DZ

Mailing Address

521 5th Avenue 12th Fl, New York, NY 10175

Phone number

(212) 697-5200

Established

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
LAIDLAW HOLDINGS LTD	OWNER
BELLO, JAMES ALAN	CCO	2844016
DAPONTE, ARTHUR JARROD	FINOP	7801577
EITNER, MATTHEW D	CHIEF EXECUTIVE OFFICER	3267261
REGAN, HUGH	DIRECTOR - INVESTMENT BANKING	1254114
SILVERMAN, PETER HOWARD	SEO/BRANCH MANAGER	1239510

Disclosures

Regulatory Event	9
Arbitration	4

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.

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Advisor Monitoring

Firm Stability Insights

Henry C. Chang

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Henry Chia-how Chang's CRS (Customer Relationship Summary).

Certified licenses

Experience

LAIDLAW WEALTH MANAGEMENT LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

WAMU INVESTMENTS, INC.

WAMU INVESTMENTS, INC.

GATEWAY INVESTMENT SERVICES, INC.

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/9/1999

SIE

Date: 10/1/2018

Series 7

Date: 11/24/1999

FINRA

Current Firm

LAIDLAW & COMPANY (UK) LTD.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

LAIDLAW & COMPANY (UK) LTD.

TRUST BUT VERIFY

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