AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
AC

Alex S. Chang

Some features on this profile are disabled
CRD#: 4448825
AC

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.

Alex Shuchuan Chang was a registered financial professional .

Alex is a previously registered financial professional and started their career in finance in 2002. Alex had worked at 7 firms and has passed the Series 66, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 29, 2012 - February 3, 2014

COLLABRIA CAPITAL, INC

RIA
CRD#: 159858
DANVILLE, CA
Past

May 25, 2011 - June 17, 2011

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA
CRD#: 134139
WALNUT CREEK, CA
Past

January 8, 2008 - May 21, 2012

SAFEGUARD FINANCIAL AND INSURANCE SERVICES

RIA
CRD#: 140184
ALAMO, CA
Past

January 7, 2008 - June 17, 2011

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
WALNUT CREEK, CA
Past

April 2, 2007 - January 8, 2008

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
WALNUT CREEK, CA
Past

April 2, 2007 - January 8, 2008

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
WALNUT CREEK, CA
Past

June 13, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
WALNUT CREEK, CA
Past

June 13, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
WALNUT CREEK, CA
Past

February 4, 2002 - June 16, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
SAN FRANCISCO, CA
Past

January 25, 2002 - June 16, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/4/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 9/17/2004
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 11/15/2001
General Securities Representative Examination

Current Firm

COLLABRIA CAPITAL, INC
COLLABRIA CAPITAL, INC
COLLABRIA CAPITAL, INC

CRD#: 159858 / SEC#:

California
Registered Investment Advisory firm - (3/28/2012 Approved)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Walnut Creek, CA
Mailing Address
2603 Camino Ramon #200, San Ramon, CA 94583
Phone number
(925) 271-9331
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts57
AUM (Assets Under Management)$ 15,702,121

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.

Company Information

COLLABRIA CAPITAL, INC

COLLABRIA CAPITAL, INC

CRD#: 159858

TRUST BUT VERIFY

Monitor Alex Chang

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics