Individual Firm
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SAMMY C. CHANG
SAMMY C CHANG, SAMMY CHANG
CRD#: 4610373
IA
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WELLS FARGO ADVISORSCRD#: 19616 2658 W HORIZON RIDGE PKWY
HENDERSON, NV 89052
HENDERSON, NV 89052
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3/15/2012
Customer Dispute
Withdrawn
State Registrations
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Arizona 6/21/2024
B
Nevada 6/21/2024
B
California 6/21/2024
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Nevada 6/21/2024
B
Colorado 6/21/2024
B
New Hampshire 2/4/2025
B
Florida 6/21/2024
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New Jersey 6/24/2024
B
Illinois 6/21/2024
B
New York 6/21/2024
B
Missouri 3/3/2025
B
Virginia 6/21/2024
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Registered with this firm since 6/21/2024
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Registered with this firm since 6/21/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/25/2017 - 04/18/2024 | LAS VEGAS, NV | |
B | 09/19/2017 - 04/18/2024 | LAS VEGAS, NV | |
IA | 01/17/2017 - 09/25/2017 | New York, NY | |
B | 01/12/2017 - 09/25/2017 | NEW YORK, NY | |
IA | 12/16/2015 - 02/03/2017 | NEW YORK, NY | |
B | 12/16/2015 - 02/03/2017 | NEW YORK, NY | |
IA | 07/03/2012 - 12/07/2015 | NEW YORK, NY | |
B | 07/02/2012 - 12/07/2015 | NEW YORK, NY | |
IA | 09/16/2010 - 06/25/2012 | NEW YORK, NY | |
B | 05/02/2009 - 06/25/2012 | NEW YORK, NY | |
B | 01/29/2009 - 05/02/2009 | NEW YORK, NY | |
B | 01/15/2004 - 09/05/2008 | NEW YORK, NY | |
B | 11/27/2002 - 12/05/2003 | LONG ISLAND CITY, NY |
For additional information about investment advisers or broker-dealers, please visit
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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.