Herman H. 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.
Herman Han Chang, who also goes by Herman Chang, Herman Han Chang, was a registered financial professional .
Herman is a previously registered financial professional and started their career in finance in 2012. Herman had worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 9 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2026 - August 4, 2026
BLACKROCK INVESTMENT MANAGEMENT, LLC
November 25, 2025 - August 4, 2026
BLACKROCK INVESTMENTS, LLC
November 29, 2021 - November 18, 2025
GOLDMAN SACHS & CO. LLC
January 2, 2018 - July 31, 2019
GOLDMAN SACHS & CO. LLC
April 8, 2016 - January 23, 2017
UBS FINANCIAL SERVICES INC.
April 8, 2016 - January 23, 2017
UBS FINANCIAL SERVICES INC.
June 4, 2012 - April 11, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 11, 2012 - April 11, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
BLACKROCK INVESTMENT MANAGEMENT, LLC
CRD#: 108928 / SEC#: 801-56972
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: 11/27/2021
General Securities Representative ExaminationCurrent Firm
BLACKROCK INVESTMENT MANAGEMENT, LLC
CRD#: 108928 / SEC#: 801-56972
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 48,659 |
| AUM (Assets Under Management) | $ 508,159,772,327 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 10/24/2024 | ||
| 01/26/2024 |
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.
