Ted S. Shin
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.
Ted S Shin, who also goes by Ted Sung-woo Shin, Ted Shin, was a registered financial professional .
Ted is a previously registered financial professional and started their career in finance in 2004. Ted had worked at 7 firms and has passed the Series 66 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
November 29, 2016 - May 15, 2017
ADVICEPERIOD, LLC
July 2, 2014 - July 23, 2015
OAKWOOD CAPITAL MANAGEMENT LLC
August 22, 2013 - August 30, 2013
CANTELLA & CO., INC.
October 18, 2010 - August 19, 2011
J.P. MORGAN SECURITIES LLC
October 14, 2010 - August 19, 2011
J.P. MORGAN SECURITIES LLC
October 23, 2009 - October 5, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - October 5, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 13, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 13, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 12, 2005 - June 17, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 12, 2005 - June 17, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 25, 2004 - August 16, 2005
MORGAN STANLEY DW INC.
April 20, 2004 - August 16, 2005
MORGAN STANLEY DW INC.
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
Current Firm
ADVICEPERIOD, LLC
CRD#: 169828 / SEC#: 801-79005
Contact information
Regulatory assets under management
| Total Number of Accounts | 4,821 |
| AUM (Assets Under Management) | $ 4,458,760,534 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/03/2022 |
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.
