Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sammy? Claim Your ProfileSammy C. Chang is a financial advisor with Wells Fargo Clearing Services, LLC, a registered investment advisor based in St. Louis, Missouri. Sammy has been in the industry since 2003 and holds Series 6, 7, 63 and 66 licenses. Sammy previously worked at Citigroup Global Markets Inc., Capital One Investing, LLC, HSBC Securities (USA) Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Chase Investment Services Corp. and WAMU Investments, Inc. Sammy is registered to provide investment advice and services in 53 states and the District of Columbia.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NV
06/21/2024 - Present
Wells Fargo Clearing Services, LLC (LAS VEGAS NV)
NV
09/19/2017 - 04/18/2024
CITIGROUP GLOBAL MARKETS INC. (LAS VEGAS NV)
NY
01/12/2017 - 09/25/2017
CAPITAL ONE INVESTING, LLC (NEW YORK NY)
NY
12/16/2015 - 02/03/2017
HSBC SECURITIES (USA) INC. (NEW YORK NY)
NY
07/02/2012 - 12/07/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
05/02/2009 - 06/25/2012
CHASE INVESTMENT SERVICES CORP. (NEW YORK NY)
NY
01/29/2009 - 05/02/2009
WAMU INVESTMENTS, INC. (NEW YORK NY)
NY
01/15/2004 - 09/05/2008
CHASE INVESTMENT SERVICES CORP. (NEW YORK NY)
NY
11/27/2002 - 12/05/2003
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
BOTH
Issued 09/15/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/10/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/18/2010
Series 7 - General Securities Representative Examination
BC
Issued 11/26/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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