Frederic Y. Han

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CRD#: 5416357

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.

Frederic Young Hoon Han, who also goes by Frederic Young Hoon Han, Frederic Han, was a registered financial professional .

Frederic is a previously registered financial professional and started their career in finance in 2007. Frederic had worked at 5 firms and has passed the Series 66, Series 7TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Frederic Young Hoon Han | Frederic 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 4, 2024 - January 28, 2025

CONFIDENCE WEALTH MANAGEMENT, INC.

RIA

CRD#: 127383

Superior, CO

Past

August 9, 2023 - March 5, 2024

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

Superior, CO

Past

April 3, 2023 - March 5, 2024

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

Superior, CO

Past

December 3, 2013 - April 3, 2023

PERSONAL CAPITAL ADVISORS CORPORATION

RIA

CRD#: 155172

Denver, CO

Past

November 5, 2012 - November 27, 2013

EDWARD JONES

RIA

CRD#: 250

BOULDER, CO

Past

August 8, 2012 - November 27, 2013

EDWARD JONES

CRD#: 250

BOULDER, CO

Past

January 8, 2008 - February 26, 2010

EDWARD JONES

RIA

CRD#: 250

BOULDER, CO

Past

October 26, 2007 - February 26, 2010

EDWARD JONES

CRD#: 250

BOULDER, CO

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".

CONFIDENCE WEALTH MANAGEMENT, INC.

CRD#: 127383 / SEC#: 801-122368

RIA

Registered Investment Advisory firm - (9/27/2021 Approved)

California

Registered Investment Advisory firm - (1/16/2022 Terminated)

Nevada

Registered Investment Advisory firm - (1/17/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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: 8/24/2012

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/9/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 6/27/2023

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/7/2012

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/12/2023

General Securities Principal Examination

Current Firm

CONFIDENCE WEALTH MANAGEMENT, INC.

CRD#: 127383 / SEC#: 801-122368

RIA

Registered Investment Advisory firm - (9/27/2021 Approved)

California

Registered Investment Advisory firm - (1/16/2022 Terminated)

Nevada

Registered Investment Advisory firm - (1/17/2022 Terminated)

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Contact information

Main Address

10940 Wilshire Blvd Suite 600, Los Angeles, CA 90024

Mailing Address

Phone number

(310) 824-1000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

04 2025 CWM FORM ADV PART 2A FINAL (4/21/2025)

Regulatory assets under management

Total Number of Accounts	1,843
AUM (Assets Under Management)	$ 344,241,463

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

Frederic Y. Han

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

EMPOWER FINANCIAL SERVICES, INC.

EMPOWER ADVISORY GROUP, LLC

PERSONAL CAPITAL ADVISORS CORPORATION

EDWARD JONES

EDWARD JONES

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

CONFIDENCE WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/24/2012

Series 7TO

Date: 8/9/2023

SIE

Date: 6/27/2023

Series 7

Date: 8/7/2012

Series 24

Date: 12/12/2023

Current Firm

CONFIDENCE WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CONFIDENCE WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

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