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Detailed Report
Sylvia Yoonhee Ahn
SYLVIA AHN
CRD#: 5287469
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Investment Adviser
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Broker
PRINCIPAL SECURITIES, INC.CRD#: 1137 575 ANTON BLVD STE 900
COSTA MESA, CA 92626
Registration History
20082010201220142016201820202022202420262 FIRMS2020 - 2022 (2 years)2 FIRMS2022 - 2024 (1 year)2 FIRMS2024 - Present (<1 year)BAXA ADVISORS, LLC (CRD# 6627)2007 - 2012 (4 years)IAHERCULES INVESTMENTS (CRD# 304719)2019 - 2020 (<1 year)IAAXA ADVISORS, LLC (CRD# 6627)2009 - 2012 (2 years)
License(s)

State Registrations

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California 3/28/2024
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Maryland 1/10/2025
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California 4/8/2024
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Texas 1/10/2025
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Colorado 8/21/2024
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Texas 1/10/2025

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
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PRINCIPAL SECURITIES, INC. (CRD#:1137)
575 ANTON BLVD STE 900, COSTA MESA, CA 92626
Registered with this firm since 4/8/2024
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PRINCIPAL SECURITIES, INC. (CRD#:1137)
575 ANTON BLVD STE 900, COSTA MESA, CA 92626
Registered with this firm since 3/28/2024
Previous Registration(s)
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 11/16/2022 - 04/09/2024 MML INVESTORS SERVICES, LLC (CRD#:10409) Newport Beach, CA
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 11/15/2022 - 04/09/2024 MML INVESTORS SERVICES, LLC (CRD#:10409) Newport Beach, CA
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 09/09/2020 - 11/18/2022 SECURIAN FINANCIAL SERVICES, INC. (CRD#:15296) NEWPORT BEACH, CA
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 07/30/2020 - 11/18/2022 SECURIAN FINANCIAL SERVICES, INC. (CRD#:15296) NEWPORT BEACH, CA
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 11/08/2019 - 07/16/2020 HERCULES INVESTMENTS (CRD#:304719) LOS ANGELES, CA
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 10/05/2009 - 01/20/2012 AXA ADVISORS, LLC (CRD#:6627) LOS ANGELES, CA
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 02/16/2007 - 01/20/2012 AXA ADVISORS, LLC (CRD#:6627) LOS ANGELES, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.