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SH

Sam Han

ANCORIS SECURITIES
New York, NY 10022
Some features on this profile are disabled
CRD#: 5360207
SH

Professional summary

Sam Han, who also goes by Sang Wook Han, is a registered financial professional currently at ANCORIS SECURITIES LLC located in New York, New York.

Sam is registered as a RR (Registered Representative) and started their career in finance in 2008. Sam has worked at 3 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sang Wook Han

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sam Han'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 9, 2026 - Present

ANCORIS SECURITIES LLC

Office #1: 515 Madison Avenue 22nd Floor, New York, NY, 10022
BD
CRD#: 305279
New York, NY
Past

June 7, 2016 - September 29, 2020

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
NEW YORK, NY
Past

February 4, 2014 - February 12, 2016

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

September 24, 2008 - January 31, 2014

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/27/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/7/2026
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/23/2008
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ANCORIS SECURITIES LLC
ANCORIS SECURITIES LLC | UPPERDECK SECURITIES LLC

CRD#: 305279 / SEC#: , 8-70753

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
515 Madison Avenue 22nd Floor, New York, NY, 10022
Mailing Address
515 Madison Avenue 22nd Floor, New York, NY, 10022
Phone number
(212) 601-2813
Established
New York since 06/14/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (10 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ANCORIS CAPITAL PARTNERS LLCSOLE OWNER
PLOTYCIA, STEVEN WILLIAMFINOP5293014
SMITH, HEATHERCEO,CCO2811843

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.

Company Information

ANCORIS SECURITIES LLC

CRD#: 305279New York, NY 10022

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