NC
Nancy Y. Chang
INDEPENDENT FINANCIAL GROUP
Campbell, CA
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CRD#: 4917714
NC
Professional summary
Nancy Yen Chang, who also goes by Nancy Chang, Yuhtzy Yen Chang, Yuhtzy Chang, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Campbell, California.
Nancy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Nancy has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nancy Chang | Yuhtzy Yen Chang | Yuhtzy Chang
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) CROSBY INVESTMENT GROUP POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 09/01/2021 ADDRESS: 25 Colleen Way, Campbell CA 95008, United States DESCRIPTION: Registered representative at DBA used for marketing purposes (2) XADVISORS, LLC POSITION: Agent/Representative NATURE: Outside Registered Investment Advisor/Outside IAR INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 8 START DATE: 09/24/2021 ADDRESS: 25 Colleen Way, Campbell CA 95008, United States DESCRIPTION: Outside RIA
CRS (Client Relationship Summary) - RIA
Click below to view Nancy Yen Chang's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nancy Yen 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
September 27, 2021 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Campbell, CA
Current
September 24, 2021 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Campbell, CA
Past
September 27, 2021 - September 19, 2024
X ADVISORS, LLC
RIA
CRD#: 315838
Campbell, CA
Past
September 10, 2020 - September 29, 2021
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
SAN FRANCISCO, CA
Past
September 10, 2020 - September 29, 2021
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SAN FRANCISCO, CA
Past
May 24, 2013 - July 10, 2020
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
SANTA CLARA, CA
Past
May 24, 2013 - July 10, 2020
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
SANTA CLARA, CA
Past
September 17, 2012 - June 10, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
IRVINE, CA
Past
September 14, 2012 - June 10, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
IRVINE, CA
Past
September 18, 2009 - August 29, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
IRVINE, CA
Past
September 18, 2009 - August 29, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
IRVINE, CA
Past
October 24, 2005 - February 11, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
PALO ALTO, CA
Past
October 5, 2005 - February 11, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
PALO ALTO, CA
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(9/24/2021)
IAR
California(9/27/2021)
RR
Washington(9/2/2022)
Exams
State Security Law 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.
