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Frank Chang Oh

Loop Capital Markets LLC

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About Frank Chang Oh

Frank Chang Oh is a financial professional with over 25 years of experience in the industry. Frank has a strong background in the securities industry, having worked at prominent firms such as Goldman, Sachs & Co., UBS Financial Services Inc., and Stifel, Nicolaus & Company, Incorporated. Currently, Frank is registered with Loop Capital Markets LLC, a leading investment bank and brokerage firm. Frank holds Series 7, Series 63, and Series 53 licenses.

Firm Information

Frank Oh is currently registered with Loop Capital Markets LLC. Loop Capital Markets LLC is a Limited Liability Company formed on June 1, 2004. The firm provides a range of advisory services, including transition management services, equity research services, and security ratings. It serves a variety of client types, including corporations, state or municipal government entities, other investment advisors, and pension plans. The firm is registered with the Securities and Exchange Commission and is licensed to conduct business in all 50 states.

Not reported

Assets Under Management

15

Total Clients

123

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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transition management services/equity research services

Transition management services/equity research services

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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other

Negotiated fees for research services

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Frank Oh’s Registration & Firm History

NY

03/10/2011 - Present

Loop Capital Markets LLC (NEW YORK NY)

NY

12/15/2008 - 03/14/2011

STIFEL, NICOLAUS & COMPANY, INCORPORATED (NEW YORK NY)

NY

04/15/2004 - 12/22/2008

GOLDMAN, SACHS & CO. (NEW YORK NY)

NJ

06/22/1995 - 04/15/2004

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

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Licenses & Designations

BC

Issued 06/02/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/15/2010

Series 53 - Municipal Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/21/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Frank Chang Oh.
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