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KAREN CHANG
KAREN TSE
CRD#: 4312500
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 12201 SEAL BEACH BLVD
SEAL BEACH, CA 90740-2634
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 12201 SEAL BEACH BLVD
SEAL BEACH, CA 90740-2634
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2018 - 2023 (4 years)2 FIRMS2023 - Present (1 year)BMORGAN STANLEY (CRD# 149777)2023 - 2023 (<1 year)BSCOTTRADE, INC. (CRD# 8206)2001 - 2018 (16 years)IASCOTTRADE INVESTMENT MANAGEMENT (CRD# 169988)2017 - 2018 (1 year)
License(s)

State Registrations

B
Arizona 1/6/2024

B
New Jersey 11/26/2024

B
California 6/27/2023

B
Oregon 8/7/2024

IA
California 7/7/2023

B
Tennessee 11/26/2024

B
Nevada 1/6/2024

B
Wisconsin 3/1/2024

SRO Registrations

B
FINRA

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
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
12201 SEAL BEACH BLVD, SEAL BEACH, CA 90740-2634
Registered with this firm since 7/7/2023

B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
12201 SEAL BEACH BLVD, SEAL BEACH, CA 90740-2634
COSTA MESA, CA
Registered with this firm since 6/27/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
09/26/2018 - 06/23/2023 E*TRADE CAPITAL MANAGEMENT, LLC (CRD#:42159) Irvine, CA
B
01/13/2023 - 06/23/2023 MORGAN STANLEY (CRD#:149777) Irvine, CA
B
09/26/2018 - 06/23/2023 E*TRADE SECURITIES LLC (CRD#:29106) Irvine, CA
IA
02/10/2017 - 03/07/2018 SCOTTRADE INVESTMENT MANAGEMENT (CRD#:169988) SAINT LOUIS, MO
B
11/29/2001 - 03/07/2018 SCOTTRADE, INC. (CRD#:8206) HUNTINGTON BEACH, CA
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B
Broker
IA
Investment Adviser
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.