Wally 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.
Wally Chang was a registered financial professional .
Wally is a previously registered financial professional and started their career in finance in 2012. Wally had worked at 3 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2018 - June 11, 2019
TWO RIVERS TRADING GROUP LLC
May 24, 2013 - August 14, 2018
GOLDMAN SACHS & CO. LLC
October 9, 2012 - May 17, 2016
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
State Registrations and Notice Filings
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Exams
Current Firm
TWO RIVERS TRADING GROUP LLC
CRD#: 158549 / SEC#: , 8-68907
Contact information
Documents
Disclosures
| Regulatory Event | 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.
