Winli 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.
Winli Chang, who also goes by Win-li Chang Wang, Winli Wang, was a registered financial professional .
Winli is a previously registered financial professional and started their career in finance in 2000. Winli had worked at 7 firms and has passed the Series 63, Series 6TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 5, 2014 - December 1, 2021
J.K. FINANCIAL SERVICES, INC.
February 23, 2010 - June 23, 2014
FORESTERS EQUITY SERVICES, INC.
August 11, 2008 - February 10, 2010
ACE DIVERSIFIED CAPITAL, INC.
June 1, 2005 - July 10, 2008
EQUITABLE ADVISORS, LLC
March 17, 2004 - June 1, 2005
MONY SECURITIES CORPORATION
March 14, 2002 - December 31, 2003
NEW ENGLAND SECURITIES
July 31, 2000 - March 27, 2002
SIGNATOR INVESTORS, INC.
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 6TO
Date: 12/11/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
J.K. FINANCIAL SERVICES, INC.
CRD#: 103728 / SEC#: , 8-52214
Contact information
FINRA licenses (7 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
