Thomas O

RATIO CAPITAL

Las Vegas, NV 89117

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CRD#: 4870067

Professional summary

Thomas O, who also goes by Sung Hoon O, Thomas Sung Hoon O, Tommy Sung Hoon O, Hoon O Sung, is a registered financial advisor currently at RATIO CAPITAL located in Las Vegas, Nevada.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Thomas has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sung Hoon O | Thomas Sung Hoon O | Tommy Sung Hoon O | Hoon O Sung

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) 12/19/2013 - RATIO BENEFITS - NON-VARIABLE INSURANCE - ENGAGED IN THE BUSINESS OF SELLING AND ADMINISTERING FIXED INSURANCE SUCH AS HEALTH, LIFE, DISABILITY, VISION, DENTAL IN A GROUP SETTING. I AM THE PRESIDENT/PRINCIPAL OF THIS OBA - TIME SPENT 10% - LAS VEGAS, NV (2) 12/23/2013 - DBA ONLY - RATIO INVESTMENT MANAGEMENT - LAS VEGAS, NV (3) 12/30/2013 - RATIO INSURANCE - NON-VARIABLE INSURANCE - THIS SUBMISSION WAS PREVIOUSLY TERMINATED DUE TO "DUPLICATE SUBMISSION". HOWEVER, I WAS TOLD TO SUBMIT THIS BY YOUR DEPARTMENT AND IT IS NOT THE SAME AS RATIO BENEFITS AND WILL BE CONDUCTING BUSINESS WITH THIS DBA. - TIME SPENT 10% - LAS VEGAS, NV (4) 04/17/2014 - RATIO FINANCIAL HOLDINGS - NON-VARIABLE INSURANCE DBA - RATIO FINANCIAL HOLDINGS - SOLICITATION AND ADMINISTRATION OF SEVERAL FIXED LINES OF INSURANCE LIFE, HEALTH, DISABILITY, EMPLOYEE BENEFITS, VISION, AND DENTAL - TIME SPENT 10% - LAS VEGAS, NV

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas O'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

April 8, 2016 - Present

RATIO CAPITAL

Office #1: 8465 W. Sahara Ave Suite 111-44, Las Vegas, NV 89117

RIA

CRD#: 283357

Las Vegas, NV

Past

April 16, 2010 - October 7, 2014

LPL FINANCIAL LLC

RIA

CRD#: 6413

LAS VEGAS, NV

Past

April 5, 2010 - October 7, 2014

LPL FINANCIAL LLC

CRD#: 6413

LAS VEGAS, NV

Past

September 22, 2009 - February 1, 2010

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

COSTA MESA, CA

Past

December 12, 2008 - February 1, 2010

MML INVESTORS SERVICES, LLC

CRD#: 10409

COSTA MESA, CA

Past

November 10, 2005 - October 9, 2007

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

LAS VEGAS, NV

Past

January 14, 2005 - October 9, 2007

MML INVESTORS SERVICES, LLC

CRD#: 10409

LAS VEGAS, NV

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
(5/24/2016)

IAR

Nevada
(4/8/2016)

IAR

Texas
(1/25/2019)

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: 11/2/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/17/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/7/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/5/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/13/2005

Investment Company Products/Variable Contracts Representative Examination

Current Firm

RATIO CAPITAL

DBA: RATIO CAPITAL | RATIO FINANCIAL HOLDINGS | RATIO CAPITAL

CRD#: 283357 / SEC#:

California

Registered Investment Advisory firm - (5/24/2016 Approved)

Nevada

Registered Investment Advisory firm - (4/8/2016 Approved)

Texas

Registered Investment Advisory firm - (1/25/2019 Conditional Restricted)

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Contact information

Main Address

8465 W. Sahara Ave Suite 111-44, Las Vegas, NV 89117

Mailing Address

Phone number

(702) 301-6444

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	81
AUM (Assets Under Management)	$ 22,741,174

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

Thomas O

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas O's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/2/2005

Series 63

Date: 2/17/2005

SIE

Date: 10/7/2014

Series 7

Date: 6/5/2007

Series 6

Date: 1/13/2005

Current Firm

RATIO CAPITAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

RATIO CAPITAL

TRUST BUT VERIFY

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