Pauline S. Oh
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.
Pauline Su Min Oh was a registered financial professional .
Pauline is a previously registered financial professional and started their career in finance in 2018. Pauline had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2021 - April 6, 2022
LFS WEALTH ADVISORS
January 1, 2021 - March 10, 2021
VERITY INVESTMENTS, INC.
December 18, 2020 - March 10, 2021
VERITY ASSET MANAGEMENT
March 16, 2018 - January 29, 2019
MORGAN STANLEY
February 8, 2018 - January 29, 2019
MORGAN STANLEY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LFS WEALTH ADVISORS
CRD#: 154223 / SEC#: 801-113091
Contact information
Regulatory assets under management
| Total Number of Accounts | 463 |
| AUM (Assets Under Management) | $ 210,400,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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