WC
Wenjinn J. Chang
INDEPENDENT FINANCIAL GROUP
Rockville, MD 20850
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CRD#: 4536266
WC
Professional summary
Wenjinn James Chang, CFP®, CLU® is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Rockville, Maryland.
Wenjinn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Wenjinn has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 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) UPRIGHT PLANNING, LLC POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 180 SECURITIES TRADING HOURS: 143 START DATE: 04/12/2012 ADDRESS: 15245 Shady Grove Road, Suite 310, Rockville MD 20850, United States DESCRIPTION: 100% OWNER OF USED FOR MARKETING SECURITIES AND ADVISORY SERVICES. (2) TAIWANESE CHAMBER OF COMMERCE POSITION: Officer/Director NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2005 ADDRESS: 15245 Shady Grove Road, Suite 310, Rockville MD 20850, United States DESCRIPTION: MEMBER OF THE BOARD OF DIRECTORS FOR TAIWANESE CHAMBER OF COMMERCE A NON-PROFIT ORGANIZATION (3) OVERSEAS COMPATRIOT AFFAIRS COMMISSION, TAIWAN POSITION: Volunteer NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2010 ADDRESS: 15245 Shady Grove Road, Suite 310, Rockville MD 20850, United States DESCRIPTION: VOLUNTEER FOR COORDINATOR OF OVERSEAS COMPATRIOT AFFAIRS COMMISSION, TAIWAN A GOVERNMENT ORGANIZATION PROVIDING RECOMMENDATIONS FOR THE ORGANIZATION TO BETTER SERVICE TAIWANESE AMERICANS. (4) NOTARY PUBLIC POSITION: Volunteer NATURE: Notary INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/24/2006 ADDRESS: Upright Planning, LLC, 15245 Shady Grove Rd., Suite 301, Rockville MD 20850, United States DESCRIPTION: Notary Public
CRS (Client Relationship Summary) - RIA
Click below to view Wenjinn James Chang's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Wenjinn James 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®
CFP®
Start date: 2008
Experience
Current
April 10, 2012 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 2400 Research Blvd. Suite 310, Rockville, MD 20850RIA
BD
CRD#: 7717
Rockville, MD
Current
April 10, 2012 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 2400 Research Blvd. Suite 310, Rockville, MD 20850RIA
BD
CRD#: 7717
Rockville, MD
Past
September 2, 2004 - April 19, 2012
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
ROCKVILLE, MD
Past
September 2, 2004 - April 19, 2012
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
ROCKVILLE, MD
Past
September 3, 2003 - August 9, 2004
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
FALLS CHURCH, VA
Past
May 6, 2003 - August 9, 2004
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
June 12, 2002 - April 28, 2003
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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
California(4/10/2012)
RR
Delaware(3/26/2014)
RR
District of Columbia(4/10/2012)
RR
Florida(3/12/2014)
RR
Georgia(3/11/2022)
RR
Illinois(6/5/2014)
RR
Indiana(8/3/2020)
RR
Maryland(4/10/2012)
IAR
Maryland(4/10/2012)
RR
Massachusetts(7/26/2022)
RR
Michigan(10/19/2012)
RR
Mississippi(4/12/2018)
RR
Missouri(3/7/2023)
RR
Nevada(4/10/2012)
RR
New Jersey(5/5/2022)
RR
New York(4/10/2012)
RR
North Carolina(12/13/2019)
RR
Pennsylvania(4/10/2012)
RR
Texas(4/10/2012)
RR
Virginia(4/10/2012)
RR
Washington(4/28/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
