OS
Olivia Shin
49 FINANCIAL
El Segundo, CA 90245
Some features on this profile are disabled
CRD#: 7395314
OS
Professional summary
Olivia Shin, who also goes by Liv Shin, is a registered financial advisor currently at 49 FINANCIAL located in El Segundo, California.
Olivia is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Olivia has worked at 3 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Liv Shin
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.
1) 49 Wealth Management, LLC; Investment Related; 840 Apollo St #248, El Segundo, CA 90245; Registered Investment Adviser; Investment Advisor Representative ; Start Date: January 2021; hrs/mo: 160; 40 hrs during trading; Provide advice to clients. 2) Shindig Publishing LLC; Not Investment Related; 18347 Lothlorien Way Lake Oswego, OR 97034; Book Writing; Writer; 8/1/2015; 3-4 hrs/mo; 0 during trading; promoting and writing children's books 3) 49 Financial; Fixed Insurance; non-Investment Related; 840 Apollo St #248, El Segundo, CA 90245; Fixed/Traditional Insurance; Insurance Agent; 6/2021; 4 hrs/mo; 4 hrs during trading; Sales of Fixed/Traditional insurance products. 4) Cyclebar Indoor Spin Cycling. Not Investment Related. 2250 Park Place, El Segundo CA 90245. Spin Cycle. Cycle Instructor since 3/1/2024; 6 Hrs/Mo; 0 During Trading Hours. Cycle Instructor. 5) Oakwood Capital Securities; Investment Related; 600 Highway 169 S, Suite 1410 Minneapolis MN 55426; IAR; 2023-09-01; 100 hrs/mo during trading; 0 hrs/mo; Provides investment advice for clients. 6) Financial Independence Group; Investment Related; 19520 W Catawba Ave Ste 200 Cornelius North Carolina 28031; Agent; 2021-07-14; 100 hrs/mo during trading; 0 hrs/mo; Working with clients to help fund them insurance suitable for them. 7) Bay Clubs; Not investment related; 819 N Harbor Dr, Redondo Beach CA 90277 and 2250 Parkl Place, El Segundo CA 90245; Fitness Instructor; Start Date: 3/1/2024; 3 hours before and after trading hours; Duties: teaching indoor fitness classes 1-2 times per week at Bay Club Redondo and El Segundo locations
CRS (Client Relationship Summary) - RIA
Click below to view Olivia Shin'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
September 27, 2023 - Present
49 FINANCIAL
Office #1: 840 Apollo St. Suite 313, El Segundo, CA 90245RIA
CRD#: 319484
El Segundo, CA
Past
July 25, 2024 - February 4, 2025
OAKWOOD CAPITAL SECURITIES, INC.
BD
CRD#: 21000
El Segundo, CA
Past
June 29, 2021 - January 9, 2024
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
El Segundo, 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".
49 FINANCIAL
49 FINANCIAL | GLADIATOR ADVISORS, LLC | 49 WEALTH MANAGEMENT, LLC
CRD#: 319484 / SEC#: 801-123687
RIA
Registered Investment Advisory firm - (9/8/2022 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(9/27/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 6/29/2021
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
Current Firm
49 FINANCIAL
49 FINANCIAL | GLADIATOR ADVISORS, LLC | 49 WEALTH MANAGEMENT, LLC
CRD#: 319484 / SEC#: 801-123687
RIA
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Contact information
Main Address
3711 S Mopac Expy Suite 150, Austin, TX 78746
Mailing Address
Phone number
(214) 563-1190
Established
Firm type
Fiscal year end
# of Employees
167
SEC notice filing (35 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,989 |
| AUM (Assets Under Management) | $ 871,379,407 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/25/2025 |
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.
