Ethan Choi
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 Choi was a registered financial professional .
Ethan is a previously registered financial professional and started their career in finance in 2025. Ethan had worked at 1 firm and has passed the Series 65 and SIE exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2025 - June 25, 2026
DEAN ROLAND RUSSELL, LLC
Primary Firm SEC Registration
DEAN ROLAND RUSSELL, LLC
CRD#: 109480 / SEC#: 801-56225
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
DEAN ROLAND RUSSELL, LLC
CRD#: 109480 / SEC#: 801-56225
Contact information
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 555 |
| AUM (Assets Under Management) | $ 351,202,738 |
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.
