NC
Nathaniel Chang
FIDELITY INSTITUTIONAL WEALTH ADVISER LLC
NORWALK, CA
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CRD#: 5297466
NC
Professional summary
Nathaniel Chang is a registered financial advisor currently at FIDELITY INSTITUTIONAL WEALTH ADVISER LLC located in Norwalk, California and FIDELITY DISTRIBUTORS COMPANY LLC located in Westlake, Texas.
Nathaniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Nathaniel has worked at 7 firms and has passed the Series 63, Series 66, SIE, Series 7TO, Series 87, Series 86 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) - RIA
Click below to view Nathaniel 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
February 8, 2023 - Present
FIDELITY INSTITUTIONAL WEALTH ADVISER LLC
RIA
CRD#: 301896
NORWALK, CA
Current
December 22, 2022 - Present
FIDELITY DISTRIBUTORS COMPANY LLC
Office #1: Two Destiny Way, Westlake, TX 76262BD
CRD#: 17507
Westlake, TX
Past
November 3, 2014 - January 29, 2015
IMPERIAL CAPITAL ASSET MANAGEMENT LLC
RIA
CRD#: 108258
NEW YORK, NY
Past
June 23, 2014 - January 29, 2015
IMPERIAL CAPITAL, LLC
BD
CRD#: 43744
LOS ANGELES, CA
Past
January 28, 2010 - October 6, 2011
BENEFIT FINANCIAL SERVICES GROUP
RIA
CRD#: 143617
IRVINE, CA
Past
May 23, 2008 - May 5, 2009
GOLDMAN SACHS WEALTH SERVICES, L.P.
RIA
CRD#: 106693
IRVINE, CA
Past
February 4, 2008 - May 5, 2009
MERCER ALLIED COMPANY, L.P.
BD
CRD#: 37404
IRVINE, 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".
FI
FIDELITY INSTITUTIONAL WEALTH ADVISER LLC
FIDELITY INSTITUTIONAL AM | FIDELITY INSTITUTIONAL WEALTH ADVISER LLC
CRD#: 301896 / SEC#: 801-116860
RIA
Registered Investment Advisory firm - (6/28/2019 Approved)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
Alabama(1/18/2023)
RR
Alaska(1/18/2023)
RR
Arizona(1/24/2023)
RR
Arkansas(1/18/2023)
RR
California(1/18/2023)
IAR
California(2/8/2023)
RR
Colorado(12/22/2022)
RR
Connecticut(1/3/2023)
RR
Delaware(1/18/2023)
RR
District of Columbia(12/22/2022)
RR
Florida(12/22/2022)
RR
Georgia(1/18/2023)
RR
Hawaii(1/18/2023)
RR
Idaho(12/22/2022)
RR
Illinois(1/18/2023)
RR
Indiana(1/18/2023)
RR
Iowa(1/18/2023)
RR
Kansas(1/18/2023)
RR
Kentucky(1/18/2023)
RR
Louisiana(12/22/2022)
RR
Maine(1/18/2023)
RR
Maryland(12/22/2022)
RR
Massachusetts(1/18/2023)
RR
Michigan(1/18/2023)
RR
Minnesota(1/18/2023)
RR
Mississippi(1/18/2023)
RR
Missouri(1/18/2023)
RR
Montana(1/18/2023)
RR
Nebraska(1/18/2023)
RR
Nevada(1/18/2023)
RR
New Hampshire(1/18/2023)
RR
New Jersey(1/18/2023)
RR
New Mexico(1/18/2023)
RR
New York(1/18/2023)
RR
North Carolina(1/18/2023)
RR
North Dakota(1/18/2023)
RR
Ohio(1/19/2023)
RR
Oklahoma(1/18/2023)
RR
Oregon(1/18/2023)
RR
Pennsylvania(1/18/2023)
RR
Puerto Rico(12/22/2022)
RR
Rhode Island(1/18/2023)
RR
South Carolina(1/18/2023)
RR
South Dakota(1/18/2023)
RR
Tennessee(1/18/2023)
RR
Texas(1/18/2023)
IAR
Texas(2/8/2023)
RR
Utah(1/18/2023)
RR
Vermont(1/18/2023)
RR
Virginia(1/18/2023)
RR
Washington(1/18/2023)
RR
West Virginia(1/18/2023)
RR
Wisconsin(1/18/2023)
RR
Wyoming(1/18/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/21/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FI
FIDELITY INSTITUTIONAL WEALTH ADVISER LLC
FIDELITY INSTITUTIONAL AM | FIDELITY INSTITUTIONAL WEALTH ADVISER LLC
CRD#: 301896 / SEC#: 801-116860
RIA
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Contact information
Main Address
245 Summer Street, Boston, MA 02210
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
194
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 829 |
| AUM (Assets Under Management) | $ 6,468,261,663 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2025 | ||
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/26/2023 |
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.
