Edward Chang

PLEDGE CAPITAL LLC

Great Neck, NY

Some features on this profile are disabled

CRD#: 6277288

Professional summary

Edward Chang is a registered financial advisor currently at PLEDGE CAPITAL LLC located in Great Neck, New York.

Edward is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Edward has worked at 2 firms and has passed the Series 65, Series 63, SIE, 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Edward 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®

None

Experience

Current

November 8, 2021 - Present

PLEDGE CAPITAL LLC

RIA

CRD#: 284528

Great Neck, NY

Past

March 10, 2014 - February 12, 2016

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

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.

Highlighted states indicate IAR registrations

IAR

New York
(11/8/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/29/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/7/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/12/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 7/29/2014

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 86

Date: 6/6/2014

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 7

Date: 3/8/2014

General Securities Representative Examination

Current Firm

PLEDGE CAPITAL LLC

CRD#: 284528 / SEC#:

New York

Registered Investment Advisory firm - (5/18/2018 Approved)

Texas

Registered Investment Advisory firm - (12/19/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Great Neck, NY

Mailing Address

35 Stevenson Drive, Great Neck, NY 11023

Phone number

(516) 578-1154

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	45
AUM (Assets Under Management)	$ 10,611,058

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
New York	ERA - Withdrawn	4/21/2017

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Edward Chang

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Edward Chang's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/29/2018

Series 63

Date: 4/7/2014

SIE

Date: 2/12/2016

Series 87

Date: 7/29/2014

Series 86

Date: 6/6/2014

Series 7

Date: 3/8/2014

Current Firm

PLEDGE CAPITAL LLC

Contact information

Documents

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

PLEDGE CAPITAL LLC

TRUST BUT VERIFY

Similar Advisors