Shirley Hsiao-An Chang

Employer firm

J.p. Morgan Securities LLC CRD 79

$430B regulatory AUM 407,036 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2011 → 11/2017
  Morgan Stanley Smith Barney
  New York, NY
• 11/2017 → Present
  Jpmorgan Chase Bank, N.A.
  New York, NY
• 11/2017 → Present
  J.P. Morgan Securities Llc
  New York, NY

Previous Registrations

• 2011-07-27 → 2017-11-06
  Morgan Stanley
  New York, NY
• 2009-06-01 → 2009-07-30
  Morgan Stanley
  New York, NY
• 2008-06-17 → 2009-06-01
  Morgan Stanley & Co. Llc
  New York, NY
• 2005-03-22 → 2008-06-04
  Lehman Brothers Inc.
  New York, NY
  New York, NY
• 2008-05-16 → 2008-06-04
  Morgan Stanley & Co. Llc
  New York, NY
• 2004-07-29 → 2004-12-13
  Caris & Company, Inc.
  New York, NY
• 2004-01-13 → 2004-03-22
  Banc Of America Investment Services, Inc.
  New York, NY

Other Businesses

Entity Name: 421 New York, NY Investment related: Yes Address: 421 New York, NY Nature of the other business: Rental Property Position/Title/Relationship: Sole Proprietor Start Date: 01-Mar-2010 Approximate # of hours a month: 2 hours a month Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Responsibilities include maintaining apartment, and annual lease renewal. Effective 6/15/2018 I will be an employee of both JPMorgan Securities and JPMorgan Bank. JPMorgan Bank offers a broad range of products and services nationwide. As an employee of JPMorgan Bank I will be able to offer certain bank products and services, including deposit and credit products.

Exams

• S65 Uniform Investment Adviser Law Examination
  2000-12-08
• S63 Uniform Securities Agent State Law Examination
  1998-05-09

Other Names

• Shirley Hsiaoan Chang