Carol Chang

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

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

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

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

Current Employers

Employment History

• 07/2006 → 11/2021
  Carol C. Chang Cpa
  Foster City, CA
• 12/2006 → 09/2025
  Avantax Investment Services, Inc.
  Foster City, CA
• 01/2008 → 09/2025
  Avantax Advisory Services
  Foster City, CA
• 07/2019 → Present
  Residental Town House
  Foster City, CA
• 11/2007 → 09/2025
  Avantax Insurance Agency, Llc
  Foster City, CA
• 07/2007 → 09/2025
  Avantax Insurance Agency And/Or Avantax Insurance Services
  Foster City, CA
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Foster City, CA
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2008-01-08 → 2025-09-05
  Avantax Advisory Services
  Foster City, CA
  Foster City, CA

Other Businesses

1) Residential town house 1042 Hull Lane Foster City CA 94404 Rental Property Owner~7/1/2019~2hrs~2hrs~I collect rent, pay HOA dues and property taxes. 2) HALF MOON BAY WOMEN'S GOLF CLUB POSITION: Captain NATURE: This is a group of women golfers who plays at Half Moon Bay Golf Course on every Tuesday. The course is located in Half Moon Bay, California. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2022 ADDRESS: P.O. Box 434, Half Moon Bay Women's Golf Club CA 94019, United States DESCRIPTION: I was elected by all members to become their new Captain effective 1/1/2022. I will be leading the Board, which consists of Secretary, Treasurer, Rules, Tournament and Membership, and five Committee Chairpersons ( Handicap, Social, Team Play and WGANC Open Day ) to serve the Club members . I will preside and present agendas at the Board meetings and General meetings.I will represent HMBWGC at WGANC meetings and activities. I will exercise a general supervision over the business and affairs of the Club.

Exams

• S65 Uniform Investment Adviser Law Examination
  2007-10-12
• S63 Uniform Securities Agent State Law Examination
  2007-03-23

Designations

• Certified Financial Planner

Other Names

• Carol Cheng