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AA

Ahsoo Ahn

GALLIOTT CAPITAL ADVISORS
Beverly Hills, CA 90212
Some features on this profile are disabled
CRD#: 5369193
AA

Professional summary

Ahsoo Ahn, who also goes by Julie Ahn, is a registered financial advisor currently at GALLIOTT CAPITAL ADVISORS, LLC located in Beverly Hills, California.

Ahsoo is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Ahsoo has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Julie Ahn

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.
Galliott Capital Advisors LLC: Registered entity with the SEC as Investment Adviser Firm. CAO. Start 6/2021. Spends approx. 80 hrs/monthly.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ahsoo Ahn'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

September 25, 2023 - Present

GALLIOTT CAPITAL ADVISORS, LLC

Office #1: 9401 Wilshire Blvd. Ste 705, Beverly Hills, CA 90212
RIA
CRD#: 313094
Beverly Hills, CA
Past

August 22, 2022 - January 2, 2023

INSIGNEO ADVISORY SERVICES, LLC

RIA
CRD#: 282589
MIAMI, FL
Past

April 6, 2021 - July 6, 2022

GALLIOTT CAPITAL ADVISORS, LLC

RIA
CRD#: 313094
BEVERLY HILLS, CA
Past

July 2, 2020 - March 1, 2022

INSIGNEO ADVISORY SERVICES, LLC

RIA
CRD#: 282589
Beverly Hills, CA
Past

July 2, 2020 - January 2, 2023

INSIGNEO SECURITIES, LLC

BD
CRD#: 29249
Beverly Hills, CA
Past

June 1, 2016 - July 2, 2020

MORGAN STANLEY

RIA
CRD#: 149777
LOS ANGELES, CA
Past

June 1, 2016 - July 2, 2020

MORGAN STANLEY

BD
CRD#: 149777
LOS ANGELES, CA
Past

December 1, 2011 - June 7, 2016

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
LOS ANGELES, CA
Past

November 30, 2011 - June 7, 2016

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
LOS ANGELES, CA
Past

January 14, 2009 - December 7, 2011

DEUTSCHE BANK SECURITIES INC.

RIA
CRD#: 2525
LOS ANGELES, CA
Past

February 15, 2008 - December 7, 2011

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
LOS ANGELES, CA

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".
GC
GALLIOTT CAPITAL ADVISORS, LLC
GALLIOTT CAPITAL ADVISORS, LLC

CRD#: 313094 / SEC#: 801-120725

RIA
Registered Investment Advisory firm - (4/2/2021 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
California
(9/25/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/14/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/14/2008
General Securities Representative Examination

Current Firm

GC
GALLIOTT CAPITAL ADVISORS, LLC
GALLIOTT CAPITAL ADVISORS, LLC

CRD#: 313094 / SEC#: 801-120725

RIA
Registered Investment Advisory firm - (4/2/2021 Approved)
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Contact information

Main Address
9401 Wilshire Blvd. Ste 705, Beverly Hills, CA 90212
Mailing Address
Phone number
(310) 362-3320
Established
Firm type
Fiscal year end
# of Employees
6

SEC notice filing (1 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PART 2A OF FORM ADV: FIRM BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts304
AUM (Assets Under Management)$ 261,932,486

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
08/29/2023
Cover Page
Report

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

GALLIOTT CAPITAL ADVISORS, LLC

CRD#: 313094Beverly Hills, CA 90212

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