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NC

Nancy Y. Chang

NI ADVISORS
Campbell, CA
Some features on this profile are disabled
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 NI ADVISORS 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 8 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.
The advisor shows no other business activity.

Blog Corner

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).
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®
None

Experience

Current

February 9, 2026 - Present

NI ADVISORS

RIA
BD
CRD#: 134502
Campbell, CA
Current

February 9, 2026 - Present

NI ADVISORS

RIA
BD
CRD#: 134502
Campbell, CA
Past

September 27, 2021 - September 19, 2024

X ADVISORS, LLC

RIA
CRD#: 315838
Campbell, CA
Past

September 27, 2021 - February 10, 2026

INDEPENDENT FINANCIAL GROUP, LLC

RIA
CRD#: 7717
Campbell, CA
Past

September 24, 2021 - February 10, 2026

INDEPENDENT FINANCIAL GROUP, LLC

BD
CRD#: 7717
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

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
(2/9/2026)
IAR
California
(2/9/2026)
RR
Washington
(2/9/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/21/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/3/2005
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NA
NI ADVISORS
NI ADVISORS

CRD#: 134502 / SEC#: , 8-66841

California
Registered Investment Advisory firm - SEC (5/23/2012 Approved)
Colorado
Registered Investment Advisory firm - SEC (7/29/2022 Approved)
Florida
Registered Investment Advisory firm - SEC (4/9/2024 Approved)
Massachusetts
Registered Investment Advisory firm - SEC (1/4/2023 Approved)
New Jersey
Registered Investment Advisory firm - SEC (1/11/2023 Approved)
Rhode Island
Registered Investment Advisory firm - SEC (2/11/2022 Approved)
Texas
Registered Investment Advisory firm - SEC (2/25/2020 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
1138 Cadillac Court, Milpitas, CA 95035-3058
Mailing Address
1138 Cadillac Court, Milpitas, CA 95035
Phone number
(510) 306-7777
Established
California since 01/01/2005
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
16

FINRA licenses (34 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
GOY, SUIHOCKPRESIDENT, CFO, DIRECTOR, CHIEF COMPLIANCE OFFICER2821380
POSTREL, HELENE BERSONFINOP2240945

Regulatory assets under management

Total Number of Accounts7
AUM (Assets Under Management)$ 3,560,000

Disclosures

Regulatory Event1

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

NI ADVISORS

CRD#: 134502Campbell, CA

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