AC
Amy P. Chang
LUMENT SECURITIES
New York, NY 10017
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CRD#: 4984784
AC
Professional summary
Amy Park Chang, who also goes by Amy S Chang, Amy Park Chang, Amy S Park, is a registered financial professional currently at LUMENT SECURITIES, LLC located in New York, New York.
Amy is registered as a RR (Registered Representative) and started their career in finance in 2006. Amy has worked at 3 firms and has passed the Series 63, Series 79TO, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Amy S Chang | Amy Park Chang | Amy S Park
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.
CRS (Client Relationship Summary) - BD
Click below to view Amy Park 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
May 24, 2021 - Present
LUMENT SECURITIES, LLC
Office #1: 280 Park Avenue 40 West, New York, NY 10017BD
CRD#: 14840
New York, NY
Past
July 12, 2019 - February 26, 2021
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
PRINCETON, NJ
Past
September 29, 2006 - June 3, 2014
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
PRINCETON, NJ
Past
February 13, 2006 - September 29, 2006
FAM DISTRIBUTORS, INC.
BD
CRD#: 4100
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(5/20/2022)
RR
Alaska(5/20/2022)
RR
Arizona(5/20/2022)
RR
Arkansas(5/20/2022)
RR
California(5/20/2022)
RR
Colorado(5/20/2022)
RR
Connecticut(5/20/2022)
RR
Delaware(5/20/2022)
RR
District of Columbia(5/20/2022)
RR
Florida(5/20/2022)
RR
Georgia(5/20/2022)
RR
Hawaii(5/20/2022)
RR
Idaho(5/20/2022)
RR
Illinois(3/18/2022)
RR
Indiana(5/20/2022)
RR
Iowa(5/20/2022)
RR
Kansas(5/20/2022)
RR
Kentucky(5/20/2022)
RR
Louisiana(5/20/2022)
RR
Maine(5/20/2022)
RR
Maryland(5/20/2022)
RR
Massachusetts(5/20/2022)
RR
Michigan(5/20/2022)
RR
Minnesota(5/20/2022)
RR
Mississippi(5/20/2022)
RR
Missouri(5/20/2022)
RR
Montana(5/20/2022)
RR
Nebraska(5/20/2022)
RR
Nevada(5/20/2022)
RR
New Hampshire(3/18/2022)
RR
New Jersey(3/18/2022)
RR
New Mexico(5/20/2022)
RR
New York(5/24/2021)
RR
North Carolina(5/20/2022)
RR
North Dakota(5/20/2022)
RR
Ohio(5/20/2022)
RR
Oklahoma(5/20/2022)
RR
Oregon(5/20/2022)
RR
Pennsylvania(5/20/2022)
RR
Puerto Rico(5/20/2022)
RR
Rhode Island(5/20/2022)
RR
South Carolina(5/20/2022)
RR
South Dakota(5/20/2022)
RR
Tennessee(5/20/2022)
RR
Texas(5/20/2022)
RR
Utah(5/20/2022)
RR
Vermont(5/20/2022)
RR
Virgin Islands(5/20/2022)
RR
Virginia(5/20/2022)
RR
Washington(5/20/2022)
RR
West Virginia(5/20/2022)
RR
Wisconsin(5/20/2022)
RR
Wyoming(5/20/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 3/14/2022
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 7/12/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LS
LUMENT SECURITIES, LLC
LUMENT SECURITIES | RED CAPITAL MARKETS, LLC | RED CAPITAL MARKETS, INC. | PROVIDENT SECURITIES & INVESTMENT COMPANY | OREC SECURITIES, LLC | LUMENT SECURITIES, LLC
CRD#: 14840 / SEC#: , 8-31175
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
10 West Broad Street 8th Floor, Columbus, OH 43215
Mailing Address
10 West Broad Street 8th Floor, Columbus, OH 43215
Phone number
(614) 857-1600
Established
Delaware since 05/06/2010
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LUMENT REAL ESTATE CAPITAL HOLDINGS, LLC | SHAREHOLDER | |
| CROFT, JAMES FRANCIS | CHAIRMAN, BOARD OF MANAGERS | 2148025 |
| KIRKWOOD, ROBERT THOMAS | CHIEF EXECUTIVE OFFICER, BOARD OF MANAGERS | 6025468 |
| MAINELLI, KEVIN JOSEPH | MANAGING DIRECTOR - CHIEF COMPLIANCE OFFICER | 1751991 |
| SMITH, MARY AGNES | CHIEF FINANCIAL OFFICER AND FINOP | 2498307 |
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.
