Han J. Cho

POSITIVE DELTA ASSET MANAGEMENT LLC

LOS ANGELES, CA 90010

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CRD#: 4137728

Professional summary

Han Joo Cho is a registered financial advisor currently at POSITIVE DELTA ASSET MANAGEMENT LLC located in Los Angeles, California.

Han is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Han has worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1. 10/21/09 - REAL ESTATE BROKER, I HAVE A CA REAL ESTATE BROKER LICENSE BUT I DO NOT DO IT RIGHT NOW. 2% OF TIME. 2. 05/24/10 - DBA ONLY, HJ WEALTH MANAGEMENT GROUP, CA. 3. 05/27/10 - OTHER-REAL ESTATES BROKER, SK REALTY ADVISORS, INC., 20% CA.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Han Joo Cho'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

June 15, 2011 - Present

POSITIVE DELTA ASSET MANAGEMENT LLC

Office #1: 3600 Wilshire Blvd Suite 1214, Los Angeles, CA 90010

RIA

CRD#: 134775

LOS ANGELES, CA

Past

September 22, 2009 - June 13, 2011

LPL FINANCIAL LLC

RIA

CRD#: 6413

LOS ANGELES, CA

Past

September 21, 2009 - June 13, 2011

LPL FINANCIAL LLC

CRD#: 6413

LOS ANGELES, CA

Past

January 20, 2006 - October 2, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

CENTURY CITY, CA

Past

January 20, 2006 - October 2, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

CENTURY CITY, CA

Past

May 14, 2002 - January 23, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

LOS ANGELES, CA

Past

May 3, 2002 - January 23, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

July 13, 2000 - May 10, 2002

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

PASADENA, CA

Past

April 14, 2000 - May 10, 2002

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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

California
(6/15/2011)

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

State Security Law Exam

IAR

Series 65

Date: 5/1/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/17/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/12/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 8/22/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 7/22/2002

General Securities Sales Supervisor - Options Module Examination

Current Firm

POSITIVE DELTA ASSET MANAGEMENT LLC

GB POSITIVE DELTA ASSET MANAGEMENT, LLC | POSITIVE DELTA ASSET MANAGEMENT, LLC | POSITIVE DELTA ASSET MANAGEMENT LLC | GB POSITIVE DELTA ASSET MANAGENT, LLC

CRD#: 134775 / SEC#: 801-69722

RIA

Registered Investment Advisory firm - (7/12/2012 Terminated)

California

Registered Investment Advisory firm - (6/13/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

520 S. Grand Ave. Suite 1070, Los Angeles, CA 90071

Mailing Address

Phone number

(213) 388-3638

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	109
AUM (Assets Under Management)	$ 28,800,658

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.

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Firm Stability Insights

Han J. Cho

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Han Joo Cho's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/1/2000

Series 63

Date: 4/17/2000

Series 7

Date: 4/12/2000

Series 10

Date: 8/22/2002

Series 9

Date: 7/22/2002

Current Firm

POSITIVE DELTA ASSET MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

POSITIVE DELTA ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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