Andrew J. 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.
Andrew Jaehong Oh, who also goes by Jae H Oh, Jaehong Oh, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2002. Andrew had worked at 6 firms and has passed the Series 63, SIE, Series 55 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
May 3, 2011 - June 5, 2015
AVATAR SECURITIES, LLC
October 16, 2006 - June 17, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
August 19, 2004 - November 30, 2005
GENESIS SECURITIES, LLC
February 11, 2004 - July 30, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
November 5, 2003 - February 9, 2004
KING FINANCIAL SERVICES, INC.
January 23, 2003 - November 7, 2003
SCHONFELD SECURITIES, LLC
August 22, 2002 - February 3, 2003
WORLDCO, L.L.C.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 9/9/2002
Limited Representative-Equity Trader ExamCurrent Firm
AVATAR SECURITIES, LLC
CRD#: 147763 / SEC#: , 8-67932
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVATAR TRADING GROUP, LLC | HOLDING CO. | |
| DEETER, MISHA BODHI | MEMBER | 5132163 |
| BROWSKI, ANDREW CHARLES | CHIEF COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER | 5778834 |
| HOLLAND, RAYMOND F | CO-MANAGING MEMBER | 5509397 |
| KATHWARI, OMAR FAROOQ | CO-MANAGING MEMBER | 5509343 |
| SLOAN NOWAK, JACQUELINE LEE | FINOP/PRINCIPAL FINANCIAL OFFICER | 2717305 |
Disclosures
| Regulatory Event | 1 |
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.
