Joseph J. 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.
Joseph Jinho Chang, who also goes by Joseph J Chang, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2011. Joseph had worked at 5 firms and has passed the Series 63, Series 79TO, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2023 - October 28, 2024
CASCADIA CAPITAL, LLC
March 31, 2022 - January 27, 2023
LAZARD FRERES & CO. LLC
February 12, 2020 - March 31, 2022
LAZARD MIDDLE MARKET LLC
May 26, 2011 - August 26, 2013
MORGAN STANLEY & CO. LLC
January 19, 2011 - April 25, 2011
GLEACHER & COMPANY SECURITIES, 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 79TO
Date: 2/12/2020
Investment Banking Registered Representative ExaminationCurrent Firm
CASCADIA CAPITAL, LLC
CRD#: 101020 / SEC#: , 8-52064
Contact information
FINRA licenses (14 States and Territories)
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.
