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LESLIE CHANG
LESLIE HUIMIN CHANG
CRD#: 4296836
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 2121 Rosecrans Avenue
Suite 1300
El Segundo, CA 90245
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2001 - 2003 (2 years)2 FIRMS2005 - 2007 (1 year)2 FIRMS2008 - 2009 (<1 year)2 FIRMS2009 - 2012 (3 years)2 FIRMS2012 - Present (12 years)BBARCLAYS CAPITAL INC. (CRD# 19714)2004 - 2004 (<1 year)
License(s)

State Registrations

B
Arizona 5/3/2023

B
Nevada 4/12/2023

B
California 10/18/2012

B
New Jersey 5/10/2023

IA
California 10/25/2012

B
New York 12/5/2017

B
Colorado 5/3/2023

B
Ohio 5/10/2023

B
Connecticut 10/25/2023

B
Oregon 5/10/2023

B
Florida 1/11/2018

B
Tennessee 5/10/2023

B
Georgia 7/24/2023

B
Texas 5/10/2023

B
Hawaii 5/3/2023

IA
Texas 7/3/2023

B
Idaho 5/3/2023

B
Utah 5/10/2023

B
Illinois 5/3/2023

B
Vermont 6/9/2023

B
Louisiana 5/3/2023

B
Virginia 5/10/2023

B
Maryland 5/3/2023

B
Washington 5/10/2023

B
Massachusetts 5/17/2023

B
Wisconsin 5/10/2023

B
Minnesota 5/17/2023

B
Wyoming 5/17/2023

B
Nebraska 5/17/2023

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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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
UBS FINANCIAL SERVICES INC. (CRD#:8174)
2121 Rosecrans Avenue Suite 1300, El Segundo, CA 90245
135 S. State College Blvd Suite 650, BREA, CA 92821
Registered with this firm since 10/25/2012

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
2121 Rosecrans Avenue Suite 1300, El Segundo, CA 90245
135 S. State College Blvd Suite 650, BREA, CA 92821
Registered with this firm since 10/18/2012

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/01/2009 - 10/05/2012 MORGAN STANLEY (CRD#:149777) PASADENA, CA
B
06/01/2009 - 10/05/2012 MORGAN STANLEY SMITH BARNEY (CRD#:149777) PASADENA, CA
IA
11/19/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) PASADENA, CA
B
11/19/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) PASADENA, CA
IA
12/20/2005 - 09/14/2007 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) LOS ANGELES, CA
B
11/14/2005 - 09/14/2007 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LOS ANGELES, CA
B
06/08/2004 - 09/02/2004 BARCLAYS CAPITAL INC. (CRD#:19714) NEW YORK, NY
IA
02/28/2001 - 07/07/2003 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) BEVERLY HILLS, CA
B
01/18/2001 - 07/07/2003 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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Broker
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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.