HW
Hua Wei
SPRING OCEAN CAPITAL LLC
Chagrin Falls, OH
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CRD#: 6606087
HW
Professional summary
Hua Wei is a registered financial advisor currently at SPRING OCEAN CAPITAL LLC located in Chagrin Falls, Ohio.
Hua is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Hua has worked at 1 firm .
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
From time to time, I will be available to consulting work related to computer programming, financial modeling. The consulting work is not investment-related. There is no set number of hours/month devote to the other business. The hour/month is expected to be minimal and will mostly during non-securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Hua Wei'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®
NoneExperience
Current
April 19, 2016 - Present
SPRING OCEAN CAPITAL LLC
RIA
CRD#: 282737
Chagrin Falls, OH
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
Ohio(6/20/2017)
IAR
Texas(9/13/2016)
Exams
Current Firm
SO
SPRING OCEAN CAPITAL LLC
SPRING OCEAN CAPITAL LLC
CRD#: 282737 / SEC#:
Florida
Registered Investment Advisory firm - (12/4/2017 Terminated)Louisiana
Registered Investment Advisory firm - (11/22/2019 Terminated)Ohio
Registered Investment Advisory firm - (6/15/2017 Approved)Texas
Registered Investment Advisory firm - (9/12/2016 Conditional Restricted)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
160 W Orange Hill Cir, Chagrin Falls, OH 44022
Mailing Address
Phone number
(888) 560-6709
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 8 |
| AUM (Assets Under Management) | $ 2,924,000 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Texas | ERA - Withdrawn | 8/23/2016 |
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.
