YC
Yong S. Chang
INDEPENDENT FINANCIAL GROUP
Seattle, WA 98125
Some features on this profile are disabled
CRD#: 4440739
YC
Professional summary
Yong Seok Chang is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Seattle, Washington.
Yong is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Yong has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
(1) U&T RISK MANAGEMENT & INSURANCE POSITION: Officer/Director NATURE: Insurance outside of IFG INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 10/10/2008 ADDRESS: 155 Ne 100th St, Ste 403, Seattle WA 98125, United States DESCRIPTION: WA INSURANCE AGENT, DBA U&T RISK MANAGEMENT & INSURANCE OFFERING VARIOUS TYPES OF INSURANCE PRODUCTS (2) U&T FIANCIAL POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 10/10/2008 ADDRESS: 155 Ne 100th St, Ste 403, Seattle WA 98125, United States DESCRIPTION: 50% OWNER OFDBA U&T CAPITAL MANAGEMENT, INC USED FOR MARKETING PURPSOSES (3) U&T GLOBAL CONSULTING POSITION: Officer/Director NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 11/30/2013 ADDRESS: 155 NE 100th Street, Suite 403, Seattle WA 98125, United States DESCRIPTION: 50% OWNER OF U&T GLOBAL CONSULTING OFFERING REAL ESTATE INVESTMENT CONSULTING U&T FINANCIAL/YONG CHANG LLC POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 09/13/2024 ADDRESS: 14007 45th Dr SE, Snohomish WA 98296, United States DESCRIPTION: The owner of a single-member LLC. PIERCE COUNTY POSITION: Volunteer NATURE: Teaching/Coaching INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 16 START DATE: 12/06/2024 ADDRESS: 155 Ne 100th St, Ste 403, Seattle WA 98125, United States DESCRIPTION: Instructor for the business workshop that Pierce County has organized to support Korean small business owners in the area.
CRS (Client Relationship Summary) - RIA
Click below to view Yong Seok Chang's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Yong Seok Chang's 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®
NoneExperience
Current
October 27, 2008 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 155 Ne 100th St Ste 403, Seattle, WA 98125RIA
BD
CRD#: 7717
Seattle, WA
Current
October 27, 2008 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 155 Ne 100th St Ste 403, Seattle, WA 98125RIA
BD
CRD#: 7717
Seattle, WA
Past
June 2, 2004 - October 27, 2008
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
BELLEVUE, WA
Past
September 14, 2001 - October 27, 2008
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
BELLEVUE, WA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
Arizona(8/4/2017)
RR
California(10/27/2008)
RR
Colorado(7/23/2013)
RR
Florida(3/6/2013)
RR
Georgia(3/28/2017)
RR
Hawaii(4/3/2014)
RR
Illinois(4/27/2011)
RR
Maryland(11/8/2023)
RR
Michigan(3/6/2013)
RR
Missouri(1/4/2012)
RR
Nevada(10/6/2025)
RR
New Jersey(7/26/2021)
RR
New York(6/11/2021)
RR
North Carolina(1/24/2017)
RR
Ohio(4/25/2023)
RR
Oregon(8/8/2016)
RR
Pennsylvania(8/5/2014)
RR
Texas(3/27/2015)
IAR
Texas(3/27/2015)
RR
Washington(10/27/2008)
IAR
Washington(10/27/2008)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Mailing Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Phone number
(858) 436-3180
Established
Delaware since 07/09/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
622
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 44,046 |
| AUM (Assets Under Management) | $ 11,322,059,063 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 1 |
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.
