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Detailed Report
Audrey Shih-Min Chang
AUDREY SHIHMIN CHANG, AUDREY CHANG, SHIH-MIN CHANG, SHIHMIN CHANG
CRD#: 3215522
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 55 South Lake Avenue Pasadena Towers - Tower II
Suite 700
Pasadena, CA 91101
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2005 - 2009 (3 years)2 FIRMS2009 - 2014 (5 years)2 FIRMS2014 - 2014 (<1 year)2 FIRMS2018 - Present (6 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2000 - 2005 (4 years)BWMA SECURITIES, INC. (CRD# 32625)1999 - 2000 (<1 year)IAMERRILL LYNCH PIERCE FENNER & ... (CRD# 7691)2003 - 2005 (2 years)
License(s)

State Registrations

B
Alabama 4/29/2022
B
Nebraska 11/19/2019
B
Alaska 1/17/2019
B
Nevada 1/16/2019
B
Arizona 1/17/2019
B
New Hampshire 5/25/2022
B
Arkansas 1/17/2019
B
New Jersey 1/15/2019
B
California 12/10/2018
B
New Mexico 11/19/2019
IA
California 12/10/2018
B
New York 1/2/2019
B
Colorado 1/16/2019
B
North Carolina 1/16/2019
B
Connecticut 5/11/2022
B
North Dakota 11/19/2019
B
Delaware 1/2/2019
B
Ohio 1/16/2019
B
District of Columbia 5/11/2022
B
Oklahoma 5/25/2022
B
Florida 1/15/2019
B
Oregon 1/15/2019
B
Georgia 11/19/2019
B
Pennsylvania 1/16/2019
B
Hawaii 1/16/2019
B
Puerto Rico 11/19/2019
B
Idaho 5/25/2022
B
Rhode Island 5/24/2019
B
Illinois 1/16/2019
B
South Carolina 1/15/2019
B
Indiana 1/16/2019
B
South Dakota 1/16/2019
B
Iowa 5/25/2022
B
Tennessee 11/19/2019
B
Kansas 5/25/2022
B
Texas 1/15/2019
B
Kentucky 5/25/2022
IA
Texas 1/16/2019
B
Louisiana 2/27/2020
B
Utah 1/16/2019
B
Maine 5/25/2022
B
Vermont 5/25/2022
B
Maryland 1/16/2019
B
Virgin Islands 5/25/2022
B
Massachusetts 1/16/2019
B
Virginia 1/15/2019
B
Michigan 1/16/2019
B
Washington 1/16/2019
B
Minnesota 1/16/2019
B
West Virginia 5/25/2022
B
Mississippi 1/13/2020
B
Wisconsin 11/19/2019
B
Missouri 4/29/2022
B
Wyoming 5/25/2022
B
Montana 2/27/2020

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
55 South Lake Avenue Pasadena Towers - Tower II Suite 700, Pasadena, CA 91101
Arcadia, CA
Registered with this firm since 12/10/2018
B
MORGAN STANLEY (CRD#:149777)
55 South Lake Avenue Pasadena Towers - Tower II Suite 700, Pasadena, CA 91101
Arcadia, CA
Registered with this firm since 10/22/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/19/2014 - 12/24/2014 RBC CAPITAL MARKETS, LLC (CRD#:31194) PASADENA, CA
B
 06/18/2014 - 12/24/2014 RBC CAPITAL MARKETS, LLC (CRD#:31194) PASADENA, CA
IA
 06/01/2009 - 06/24/2014 MORGAN STANLEY (CRD#:149777) LOS ANGELES, CA
B
 06/01/2009 - 06/24/2014 MORGAN STANLEY (CRD#:149777) LOS ANGELES, CA
IA
 08/12/2005 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LOS ANGELES, CA
B
 08/12/2005 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LOS ANGELES, CA
IA
 03/13/2003 - 08/18/2005 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) LOS ANGELES, CA
B
 09/27/2000 - 08/18/2005 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 12/07/1999 - 06/13/2000 WMA SECURITIES, INC. (CRD#:32625) DULUTH, GA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.