Frank 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.
Frank Chang was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 2020. Frank had worked at 4 firms and has passed the Series 66, Series 7TO, Series 57TO, Series 99TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2024 - July 19, 2024
EAST WEST MARKETS, LLC
June 28, 2023 - December 21, 2023
CETERA INVESTMENT ADVISERS LLC
June 28, 2023 - December 21, 2023
CETERA INVESTMENT SERVICES LLC
January 31, 2023 - May 31, 2023
EAST WEST MARKETS, LLC
August 6, 2020 - July 29, 2022
SVB INVESTMENT SERVICES INC.
July 2, 2020 - August 26, 2022
SVB INVESTMENT SERVICES INC.
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
Series 7TO
Date: 7/31/2020
General Securities Representative ExaminationSeries 57TO
Date: 12/30/2019
Securities Trader ExamSeries 99TO
Date: 10/15/2019
Operations Professional ExaminationCurrent Firm
EAST WEST MARKETS, LLC
CRD#: 146871 / SEC#: , 8-67858
Contact information
FINRA licenses (4 States and Territories)
Documents
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.
