Aric 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.
Aric Haw Yeh Chang was a registered financial professional .
Aric is a previously registered financial professional and started their career in finance in 2019. Aric had worked at 4 firms and has passed the Series 66, Series 7TO, SIE and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2021 - September 6, 2023
WAVE DIGITAL ASSETS LLC
September 23, 2020 - March 3, 2021
FINALIS SECURITIES LLC
September 7, 2019 - November 17, 2020
GROWTH CAPITAL SERVICES, INC.
September 7, 2019 - November 17, 2020
GROWTH CAPITAL SERVICES, INC.
April 11, 2019 - February 2, 2021
FLYING CLOUD SECURITIES LLC
Primary Firm SEC Registration
WAVE DIGITAL ASSETS LLC
CRD#: 305726 / SEC#: 801-121282
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: 12/1/2022
General Securities Representative ExaminationCurrent Firm
WAVE DIGITAL ASSETS LLC
CRD#: 305726 / SEC#: 801-121282
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 30 |
| AUM (Assets Under Management) | $ 351,570,475 |
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.
