RC
Richard T. Chiang
NUVEEN SECURITIES
Los Angeles, CA 90067
Some features on this profile are disabled
CRD#: 5954977
RC
Professional summary
Richard Ta Chen Chiang, who also goes by Richard T Chiang, Richard Ta Chen Chiang, Richard Chiang, is a registered financial professional currently at NUVEEN SECURITIES, LLC located in Los Angeles, California.
Richard is registered as a RR (Registered Representative) and started their career in finance in 2011. Richard has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Richard T Chiang | Richard Ta Chen Chiang | Richard Chiang
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) - BD
Click below to view Richard Ta Chen Chiang'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
April 1, 2020 - Present
NUVEEN SECURITIES, LLC
Office #1: 2029 Century Park East 16th Floor, Los Angeles, CA 90067BD
CRD#: 469
Los Angeles, CA
Past
January 2, 2013 - May 19, 2017
PIMCO INVESTMENTS LLC
BD
CRD#: 154957
NEW YORK, NY
Past
October 3, 2011 - November 5, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PENNINGTON, NJ
Past
September 2, 2011 - November 5, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
PENNINGTON, NJ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(6/10/2020)
RR
Alaska(6/11/2020)
RR
Arizona(6/18/2020)
RR
Arkansas(6/12/2020)
RR
California(6/10/2020)
RR
Colorado(6/11/2020)
RR
Connecticut(6/11/2020)
RR
Delaware(6/11/2020)
RR
District of Columbia(6/16/2020)
RR
Florida(6/10/2020)
RR
Georgia(6/11/2020)
RR
Hawaii(6/10/2020)
RR
Idaho(6/9/2020)
RR
Illinois(6/17/2020)
RR
Indiana(6/10/2020)
RR
Iowa(6/12/2020)
RR
Kansas(7/1/2020)
RR
Kentucky(6/11/2020)
RR
Louisiana(6/11/2020)
RR
Maine(6/9/2020)
RR
Maryland(6/9/2020)
RR
Massachusetts(6/10/2020)
RR
Michigan(6/11/2020)
RR
Minnesota(6/16/2020)
RR
Mississippi(6/15/2020)
RR
Missouri(6/9/2020)
RR
Montana(6/9/2020)
RR
Nebraska(6/17/2020)
RR
Nevada(6/24/2020)
RR
New Hampshire(6/19/2020)
RR
New Jersey(7/1/2020)
RR
New Mexico(6/12/2020)
RR
New York(6/10/2020)
RR
North Carolina(6/9/2020)
RR
North Dakota(6/15/2020)
RR
Ohio(6/9/2020)
RR
Oklahoma(6/11/2020)
RR
Oregon(6/11/2020)
RR
Pennsylvania(6/10/2020)
RR
Puerto Rico(6/12/2020)
RR
Rhode Island(6/10/2020)
RR
South Carolina(6/30/2020)
RR
South Dakota(6/10/2020)
RR
Tennessee(6/10/2020)
RR
Texas(6/11/2020)
RR
Utah(6/9/2020)
RR
Vermont(6/11/2020)
RR
Virgin Islands(6/11/2020)
RR
Virginia(6/11/2020)
RR
Washington(6/10/2020)
RR
West Virginia(6/22/2020)
RR
Wisconsin(6/9/2020)
RR
Wyoming(6/10/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NUVEEN SECURITIES, LLC
JOHN NUVEEN & CO., INCORPORATED | NUVEEN SECURITIES, LLC | NUVEEN SECURITIES - USED ON SALES AND MARKETING LITERATURE | NUVEEN INVESTMENTS, LLC | NUVEEN INVESTMENTS
CRD#: 469 / SEC#: , 8-13464
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
333 West Wacker Drive, Chicago, IL 60606-1286
Mailing Address
333 West Wacker Drive, Chicago, IL 60606-1286
Phone number
(312) 917-7700
Established
Delaware since 09/07/1967
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 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.
