Dan D. Uhm

SEATTLE WEALTH MANAGEMENT LLC

Seattle, WA 98115

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CRD#: 4701186

Professional summary

Dan Dae Young Uhm is a registered financial advisor currently at SEATTLE WEALTH MANAGEMENT LLC located in Seattle, Washington.

Dan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Dan has worked at 10 firms and has passed the Series 66, SIE and Series 7 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.) UHM, LLC, MANAGER, NOT INVESTMENT RELATED, NOT CONDUCTED AT BRANCH; 2 HOURS PER MONTH. 2.) CO-TRUSTEE OF COMPANY RETIREMENT PLAN; INVESTMENT RELATED; CONDUCTED AT BRANCH LOCATION; LESS THAN 1 HOUR PER MONTH. 3.) SWM8301, LLC.; MEMBER; REAL ESTATE HOLDING COMPANY; NOT INVESTMENT RELATED; NOT CONDUCTED AT BRANCH; APPROX. 1 HOUR PER MONTH. 4.) 4DARMOR, LLC; PARTNER; NOT INVESTMENT RELATED, 8301-A 5TH AVENUE, SEATTLE, WASHINGTON 98115; MEMBER/MANAGER; 2-4 HOURS PER WEEK. 5.) ARMOR4ME, LLC; PARTNER; NOT INVESTMENT RELATED, 8301-A 5TH AVENUE, SEATTLE, WASHINGTON 98115; MEMBER/MANAGER; 2-4 HOURS PER WEEK. 6.) AGRINUTRIENT, LLC; PARTNER; NOT INVESTMENT RELATED, 8301-A 5TH AVENUE, SEATTLE, WASHINGTON 98115; MEMBER/MANAGER; 2-4 HOURS PER WEEK. 7.) AZTEC PREMIUM, LLC; PARTNER; NOT INVESTMENT RELATED, 8301-A 5TH AVENUE, SEATTLE, WASHINGTON 98115; MEMBER/MANAGER; 2-4 HOURS PER WEEK. 8.) ZEOLITE COMPOSITES, LLC; PARTNER; NOT INVESTMENT RELATED, 8301-A 5TH AVENUE, SEATTLE, WASHINGTON 98115; MEMBER/MANAGER; 40 HOURS PER MONTH. 9.) NAME OF BUSINESS - SEATTLE WEALTH MANAGEMENT, LLC; INVESTMENT RELATED - YES; ADDRESS - 8301-A 5TH AVENUE, SEATTLE, WASHINGTON 98115; NATURE - CONSULTING AND ADVICE TO ACCREDITED INVESTORS; POSITION -OWNER/CHIEF EXECUTIVE OFFICER; START DATE 2017; APPROXIMATE NUMBER OF HOURS PER MONTH 10 TO 15, WITH ZERO DURING TRADING HOURS; DUTIES -REAL ESTATE EQUITY AND DEBT DELAWARE STATUTORY TRUST (DST) 1031 EXCHANGE INVESTMENTS (PRIVATE PLACEMENT)

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dan Dae Young Uhm's CRS (Customer Relationship Summary).

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, 2022 - Present

SEATTLE WEALTH MANAGEMENT LLC

Office #1: 8301-a 5th Avenue Ne, Seattle, WA 98115

RIA

CRD#: 285877

Seattle, WA

Past

January 16, 2020 - December 31, 2020

AMERICAN INSTITUTIONAL ASSETS, LLC

RIA

CRD#: 286660

SEATTLE, WA

Past

August 3, 2018 - January 15, 2020

AMERICAN INSTITUTIONAL ASSETS, LLC

RIA

CRD#: 286660

SEATTLE, WA

Past

June 21, 2018 - December 16, 2019

RCX CAPITAL GROUP, LLC

CRD#: 114290

THE WOODLANDS, TX

Past

August 23, 2017 - December 31, 2020

SEATTLE WEALTH MANAGEMENT LLC

RIA

CRD#: 285877

SEATTLE, WA

Past

July 21, 2017 - March 30, 2018

ROSS SECURITIES CORPORATION

CRD#: 113796

NEW YORK, NY

Past

January 24, 2014 - March 7, 2017

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

SEATTLE, WA

Past

January 24, 2014 - March 7, 2017

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

SEATTLE, WA

Past

August 28, 2009 - October 20, 2011

SECURITIES AMERICA, INC.

CRD#: 10205

SEATTLE, WA

Past

April 17, 2009 - January 28, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

SEATTLE, WA

Past

April 17, 2009 - January 28, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

SEATTLE, WA

Past

January 16, 2007 - April 21, 2009

WAMU INVESTMENTS, INC.

RIA

CRD#: 599

SEATTLE, WA

Past

January 16, 2007 - April 21, 2009

WAMU INVESTMENTS, INC.

CRD#: 599

SEATTLE, WA

Past

September 13, 2004 - January 8, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BELLEVUE, WA

Past

September 13, 2004 - January 8, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BELLEVUE, WA

Past

July 22, 2004 - September 16, 2004

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

December 11, 2003 - September 16, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

SEATTLE, WA

Past

November 27, 2003 - September 16, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

SEATTLE WEALTH MANAGEMENT LLC

CRD#: 285877 / SEC#: 801-108935

RIA

Registered Investment Advisory firm - (1/25/2017 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

Washington
(12/7/2022)

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 66

Date: 12/10/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/26/2003

General Securities Representative Examination

Current Firm

SEATTLE WEALTH MANAGEMENT LLC

CRD#: 285877 / SEC#: 801-108935

RIA

Registered Investment Advisory firm - (1/25/2017 Approved)

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Contact information

Main Address

8301-a 5th Avenue Ne, Seattle, WA 98115

Mailing Address

Phone number

(206) 956-9445

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SEATTLE WEALTH MANAGEMENT - FORM ADV PART 2A BROCHURE (2/24/2025)

Regulatory assets under management

Total Number of Accounts	299
AUM (Assets Under Management)	$ 119,332,000

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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Advisor Monitoring

Firm Stability Insights

Dan D. Uhm

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dan Dae Young Uhm's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERICAN INSTITUTIONAL ASSETS, LLC

AMERICAN INSTITUTIONAL ASSETS, LLC

RCX CAPITAL GROUP, LLC

SEATTLE WEALTH MANAGEMENT LLC

ROSS SECURITIES CORPORATION

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

SECURITIES AMERICA, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

WAMU INVESTMENTS, INC.

WAMU INVESTMENTS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

SEATTLE WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/10/2003

SIE

Date: 10/1/2018

Series 7

Date: 11/26/2003

Current Firm

SEATTLE WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SEATTLE WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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