Steven S. Oh
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Steven Suk Min Oh, CFA, who also goes by Steven Sukmin Oh, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1996. Steven had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 2005 - December 20, 2023
PINEBRIDGE SECURITIES LLC
August 21, 2000 - October 14, 2005
COREBRIDGE CAPITAL SERVICES, INC.
August 27, 1998 - September 24, 1999
ARAGON INVESTMENTS, LTD.
May 29, 1998 - October 15, 1998
TITAN SECURITIES, L.L.C.
May 29, 1998 - October 15, 1998
CITADEL TRADING GROUP L.L.C.
May 23, 1996 - July 30, 1997
BANCAMERICA SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PINEBRIDGE SECURITIES LLC
CRD#: 5967 / SEC#: , 8-16586
Contact information
FINRA licenses (52 States and Territories)
Red Flags
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