Chun Chan Chang
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.
Chun Chan Chang, who also goes by Chun-chan Chang, Jackson Chang, was a registered financial professional .
Chun Chan is a previously registered financial professional and started their career in finance in 2006. Chun Chan had worked at 7 firms and has passed the Series 66, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 28, 2012 - December 4, 2013
HARRISDIRECT LLC
November 28, 2012 - March 5, 2014
E*TRADE SECURITIES LLC
November 22, 2011 - August 16, 2012
CHASE INVESTMENT SERVICES CORP.
November 22, 2011 - August 16, 2012
CHASE INVESTMENT SERVICES CORP.
July 29, 2010 - January 5, 2011
EQUITABLE ADVISORS, LLC
July 21, 2010 - January 5, 2011
EQUITABLE ADVISORS, LLC
October 18, 2007 - May 6, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 16, 2007 - May 6, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 2, 2007 - September 6, 2007
MORGAN STANLEY & CO. LLC
April 2, 2007 - September 6, 2007
MORGAN STANLEY & CO. LLC
September 14, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
August 28, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
April 13, 2006 - May 16, 2006
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
HARRISDIRECT LLC
CRD#: 42159 / SEC#: 801-58085, 8-49730
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| E*TRADE BROKERAGE HOLDINGS, INC. | SHAREHOLDER | |
| ALBINO, MICHAEL JOSEPH | CHIEF COMPLIANCE OFFICER/CROP/SROP - BD | 864412 |
| BOCK, CYNTHIA CRAMER | CORPORATE SECRETARY | |
| CURCIO, MICHAEL JOHN | MANAGER | 1620743 |
| FOSTER, JONATHAN RICE | PRESIDENT | 1037245 |
| HAVENS, GILBERT SCHUYLER | VICE PRESIDENT - IA | 2508109 |
| KAMEDA, ROBIN GEN WAI KIRN | CHIEF COMPLIANCE OFFICER - IA | 1821479 |
| LILIEN, ROBERT JARRETT | CEO, MANAGER | 1337819 |
| REYES, CHRISTOPHER VALENTIN | CHIEF FINANCIAL OFFICER | 2105804 |
| ROBERTS, THOMAS HENRY III | VICE PRESIDENT - BD | 2104665 |
| WILSON, MICHAEL JAMES | CHIEF COMPLIANCE OFFICER - INTERNATIONAL | 2446305 |
Regulatory assets under management
| Total Number of Accounts | 90,806 |
| AUM (Assets Under Management) | $ 7,406,529,807 |
Disclosures
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/23/2023 | ||
| 09/27/2022 | ||
| 12/21/2021 |
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.
