Ethan H. Oh

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CRD#: 5611839

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.

Ethan Han Oh, who also goes by Ethan Han-wool Oh, Ethan Wool Oh, Ethan Oh, Han Wool Oh, Han-wool Oh, was a registered financial professional .

Ethan is a previously registered financial professional and started their career in finance in 2009. Ethan had worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ethan Han-Wool Oh | Ethan Wool Oh | Ethan Oh | Han Wool Oh | Han-Wool Oh

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.

SEIA POSITION: Client Services Associate NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 01/04/2021 ADDRESS: 1650 Tysons Blvd, Suite 1575, McLean VA 22102, United States DESCRIPTION: Client Services Associate at Independent RIA SEIA, LLC

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

January 15, 2021 - November 16, 2022

SEIA

RIA

CRD#: 108163

Tyson's Corner, VA

Past

January 4, 2021 - November 18, 2022

OSAIC WEALTH, INC.

CRD#: 23131

TYSONS CORNER, VA

Past

March 10, 2020 - January 14, 2021

UNITED BROKERAGE SERVICES, INC

RIA

CRD#: 39062

ARLINGTON, VA

Past

March 10, 2020 - January 14, 2021

UNITED BROKERAGE SERVICES, INC

CRD#: 39062

ARLINGTON, VA

Past

November 1, 2018 - March 2, 2020

EDELMAN FINANCIAL ENGINES

RIA

CRD#: 104510

FAIRFAX, VA

Past

June 9, 2018 - November 1, 2018

EDELMAN FINANCIAL SERVICES, LLC

RIA

CRD#: 113299

Fairfax, VA

Past

May 9, 2018 - October 31, 2018

RETIREONE INVESTMENT SERVICES, LLC

CRD#: 269923

FAIRFAX, VA

Past

March 6, 2014 - June 9, 2018

UNITED BROKERAGE SERVICES, INC

RIA

CRD#: 39062

ARLINGTON, VA

Past

February 7, 2014 - June 9, 2018

UNITED BROKERAGE SERVICES, INC

CRD#: 39062

ARLINGTON, VA

Past

August 4, 2010 - March 6, 2014

OSAIC INSTITUTIONS, INC.

RIA

CRD#: 35371

ARLINGTON, VA

Past

March 23, 2010 - March 6, 2014

OSAIC INSTITUTIONS, INC.

CRD#: 35371

ARLINGTON, VA

Past

September 7, 2009 - March 25, 2010

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

VIENNA, VA

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".

SEIA

LIFECARE AFFORDABILITY PLAN | SIGNATURE ESTATE & INVESTMENT ADVISORS LLC | SEIA

CRD#: 108163 / SEC#: 801-56288

RIA

Registered Investment Advisory firm - (2/23/1999 Approved)

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: 8/3/2010

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/4/2009

General Securities Representative Examination

Current Firm

SEIA

LIFECARE AFFORDABILITY PLAN | SIGNATURE ESTATE & INVESTMENT ADVISORS LLC | SEIA

CRD#: 108163 / SEC#: 801-56288

RIA

Registered Investment Advisory firm - (2/23/1999 Approved)

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Contact information

Main Address

2121 Avenue Of The Stars Suite 1600, Los Angeles, CA 90067

Mailing Address

Phone number

(310) 712-2323

Established

Firm type

Fiscal year end

# of Employees

171

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SEIA ADV 2A (10/14/2025)

Regulatory assets under management

Total Number of Accounts	23,777
AUM (Assets Under Management)	$ 18,726,645,517

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

Ethan H. Oh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OSAIC WEALTH, INC.

UNITED BROKERAGE SERVICES, INC

UNITED BROKERAGE SERVICES, INC

EDELMAN FINANCIAL ENGINES

EDELMAN FINANCIAL SERVICES, LLC

RETIREONE INVESTMENT SERVICES, LLC

UNITED BROKERAGE SERVICES, INC

UNITED BROKERAGE SERVICES, INC

OSAIC INSTITUTIONS, INC.

OSAIC INSTITUTIONS, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

Primary Firm SEC Registration

SEIA

State Registrations and Notice Filings

Exams

Series 66

Date: 8/3/2010

SIE

Date: 10/1/2018

Series 7

Date: 9/4/2009

Current Firm

SEIA

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SEIA

TRUST BUT VERIFY

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