Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 25, 2017 indicate that former Washington-based Commonwealth Financial Network broker/adviser Daniel Dae Young Uhm has been the subject of customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Uhm (CRD# 4701186).
Daniel Dae Young Uhm has spent 13 years in the securities industry and was most recently registered with Commonwealth Financial Network in Seattle, Washington (2014-2017). Previous registrations include Ameriprise Financial Services in Seattle, Washington; Securities America in Seattle, Washington; Wamu Investments in Seattle, Washington; Merrill Lynch in Bellevue, Washington; IDS Life Insurance Company in Minneapolis, Minnesota; and American Express Financial Advisors in Minneapolis, Minnesota. He has passed two securities industry examinations: Series 66 (Uniform Combined State Law ExaminationDec 10, 2003) and Series 7 (General Securities Representative Examination). He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received two customer complaints.
In 2008 a customer alleged Daniel Dae Young Uhm, while employed at Wamu Investments, did not inform him of the significant risk to liquidity in an auction rate securities investment. The complaint settled for $125,000.
In 2008 a customer alleged Daniel Dae Young Uhm, while employed at Wamu Investments, misrepresented material facts related to an investment in auction rate securities. The complaint settled for $50,000.
If you or someone you know has a complaint regarding Daniel Dae Young Uhm, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.