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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

DAVID CHANG

Advisor at MML INVESTORS SERVICES, LLC

Pleasanton, CA

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Search this name across graphsid dfx:ria:cde593b0-8739-e304-7f6e-44ac8ab554b1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 13, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MML INVESTORS SERVICES, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 6, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Dec 6, 2004
First registration: Nov 13, 2006
Dual registered: yes, broker-dealer
Other names: DAVID TZER-WOEI CHANG|DAVID CHANG
IAPD individual key: 4879885

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Mar 25, 2017	n/a	yes	Pleasanton, CA	Current employment
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Apr 21, 2009	Mar 25, 2017	no	WALNUT CREEK, CA\|PLEASANTON, CA\|SAN JOSE, CA\|WALNUT CREEK, CA\|SAN RAMON, CA	Previous registration
NATIONWIDE SECURITIES, LLC	No RAUM reported	Aug 1, 2008	Dec 19, 2008	no	WALNUT CREEK, CA	Previous registration
1717 CAPITAL MANAGEMENT COMPANY	n/a	Jul 18, 2008	Aug 1, 2008	no	WALNUT CREEK, CA	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Nov 13, 2006	Feb 27, 2008	no	WALNUT CREEK, CA\|OAKLAND, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MSI FINANCIAL SERVICES, INC.	MML INVESTORS SERVICES, LLC	Mar 25, 2017	Mar 25, 2017	0	Bulk transfer	Other
NATIONWIDE SECURITIES, LLC	MSI FINANCIAL SERVICES, INC.	Dec 19, 2008	Apr 21, 2009	123	Firm change	Other
1717 CAPITAL MANAGEMENT COMPANY	NATIONWIDE SECURITIES, LLC	Aug 1, 2008	Aug 1, 2008	0	Bulk transfer	Other
MSI FINANCIAL SERVICES, INC.	1717 CAPITAL MANAGEMENT COMPANY	Feb 27, 2008	Jul 18, 2008	142	Firm change	Other

Relationships

Registered with (4)

→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: current employment
Mar 25, 2017 to presentfactForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Apr 21, 2009 to Mar 25, 2017factForm ADV
→ NATIONWIDE SECURITIES, LLCRegistered adviserregistration: previous registration
Aug 1, 2008 to Dec 19, 2008factForm ADV
→ 1717 CAPITAL MANAGEMENT COMPANYRegistered adviserregistration: previous registration
Jul 18, 2008 to Aug 1, 2008factForm ADV

Dated events

No dated event names this entity yet.