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Steven Shaotsung Chang

LPl Financial LLC

Los Gatos, CA

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-12-19
CA RA APPROVED 2014-07-30
  • TX RA
    APPROVED_RES
    Since 2018-12-19
  • CA RA
    APPROVED
    Since 2014-07-30

Branch Locations

14103 Winchester Blvd Ste G, Los Gatos, CA 95032 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial San Jose CA 07/2014 Present
  • 07/2014 → Present
    Lpl Financial
    San Jose, CA
Previous Registrations
  • 2011-09-16 → 2014-07-31
    Beacon Pointe Wealth Advisors, Llc
    San Jose, CA
    Newport Beach, CA
  • 2003-02-19 → 2011-09-19
    Ameriprise Financial Services, Llc
    San Jose, CA
    Campbell, CA
    San Jose, CA
Other Businesses

(1) 01/21/2015 - VARIOUS - NON-VARIABLE INSURANCE - INSURANCE AGENT - TIME SPENT 20 HOURS PER MONTH - SAN JOSE, CA

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2014-09-29
S66 Uniform Combined State Law Examination 2003-02-18
  • S63 Uniform Securities Agent State Law Examination
    2014-09-29
  • S66 Uniform Combined State Law Examination
    2003-02-18
Other Names
  • Steve Shaotsung Chang
  • Steven Chang

View on SEC IAPD

Other Firms

STRATEGIC ADVISERS LLC
J.P. MORGAN SECURITIES LLC
REACT INVESTMENT SOLUTIONS, LLC
LEGACY CAPITAL GROUP CALIFORNIA, INC.
INTEGRITY ALLIANCE, LLC.
CHARLES SCHWAB & CO., INC.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
LOS GATOS FINANCIAL LLC

Other Investors

HARRY SAPUTRA
JENNIFER TRAN
ZACHARY D. LEVY
MARCELA GUADALUPE GONZALEZ
JOYCE WONG IRMER
LUCAS ORME
DIEU TRAN
ELYSSA JOY QUILLA VERZOSA

Other Offices

STRATEGIC ADVISERS LLC · LOS GATOS, CA
J.P. MORGAN SECURITIES LLC · LOS GATOS, CA
REACT INVESTMENT SOLUTIONS, LLC · LOS GATOS, CA
LEGACY CAPITAL GROUP CALIFORNIA, INC. · LOS GATOS, CA
INTEGRITY ALLIANCE, LLC. · Los Gatos, CA
CHARLES SCHWAB & CO., INC. · Los Gatos, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS GATOS, CA
LOS GATOS FINANCIAL LLC · LOS GATOS, CA

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