Samuel W. Oh

MOUNTAIN CAPITAL MANAGEMENT

HOUSTON, TX 77002

Some features on this profile are disabled

CRD#: 3270306

Professional summary

Samuel Woong Oh, who also goes by Samuel Oh, is a registered financial advisor currently at MOUNTAIN CAPITAL MANAGEMENT, LLC located in Houston, Texas.

Samuel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Samuel has worked at 2 firms and has passed the Series 7 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Samuel Oh

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

I SIT ON THE BOARD OF PARALLEL PETROLEUM SINCE 10/23/2009, LOC: 1004 NORTH BIG SPRING SUITE 400, MIDLAND TX 79701, I DEVOTE 4 HOURS PER WEEK TO THIS BUSINESS, 0 ARE DURING SECURITY TRADING HOURS. I AM A MEMBER OF THE BOARD OF SUPERVISORS FOR ATHLON ENERGY SINCE 08/23/2010, IT IS NOT INVESTMENT-RELATED, LOC: 420 THROCKMORTON STREET, SUITE 1200, FORT WORTH, TX 76102, I DEVOTE 8 HOURS PER MONTH TO THIS BUSINESS, 4 DURING SECURITY TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel Woong Oh's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 7, 2015 - Present

MOUNTAIN CAPITAL MANAGEMENT, LLC

Office #1: 811 Louisiana Street Suite 2600, Houston, TX 77002

RIA

CRD#: 281465

HOUSTON, TX

Past

October 4, 1999 - April 7, 2008

MORGAN STANLEY & CO. LLC

CRD#: 8209

PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MOUNTAIN CAPITAL MANAGEMENT, LLC

MOUNTAIN CAPITAL LLC | MOUNTAIN CAPITAL MANAGEMENT, LLC

CRD#: 281465 / SEC#: 801-106782

RIA

Registered Investment Advisory firm - (10/15/2015 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(12/7/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

Series 7

Date: 10/2/1999

General Securities Representative Examination

Current Firm

MOUNTAIN CAPITAL MANAGEMENT, LLC

MOUNTAIN CAPITAL LLC | MOUNTAIN CAPITAL MANAGEMENT, LLC

CRD#: 281465 / SEC#: 801-106782

RIA

Registered Investment Advisory firm - (10/15/2015 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

811 Louisiana Street Suite 2600, Houston, TX 77002

Mailing Address

Phone number

(713) 357-9660

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

MOUNTAIN CAPITAL MANAGEMENT LLC ADV PART 2A 2025 (4/25/2025)

Regulatory assets under management

Total Number of Accounts	12
AUM (Assets Under Management)	$ 1,301,617,590

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Darren Dindinger

ALLWORTH FINANCIAL, L.P.

IAR

Orting, WA

Li-e Wang

TRANSAMERICA FINANCIAL ADVISORS, LLC

Houston, TX

James Marshall

MARSHALL WEALTH MANAGEMENT, LLC

IAR

SUGAR LAND, TX

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Samuel W. Oh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel Woong Oh's CRS (Customer Relationship Summary).

Certified licenses

Experience

MOUNTAIN CAPITAL MANAGEMENT, LLC

MORGAN STANLEY & CO. LLC

Primary Firm SEC Registration

MOUNTAIN CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 7

Date: 10/2/1999

Current Firm

MOUNTAIN CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MOUNTAIN CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors