Unclaimed Profile

James Min Yoo

M3 ASSET MANAGEMENT, INC.·LOS ANGELES, California

SIE, Series 3, Series 7, Series 24, Series 66CFP23 years registeredM3 ASSET MANAGEMENT, INC.

3731 WILSHIRE BOULEVARD, LOS ANGELES, CA 90010CRD# 4640401Firm CRD# 169461

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

James Min Yoo · LOS ANGELES, CA

Registration

CRD #4640401 · M3 ASSET MANAGEMENT, INC. · 23 years registered

Brand Profile

Not yet started

Career History

TEAM ELEVATED ASSET MANAGEMENT

Jan 2023 – present

GNH ASSET MANAGEMENT, INC.

Jul 2015 – Oct 2023

THOUSAND OAKS, CA

M3 ASSET MANAGEMENT, INC.

Jan 2014 – Jun 2015

LOS ANGELES, CA

MORGAN STANLEY

Jun 2011 – Jan 2014

LOS ANGELES, CA

PRIMEVEST FINANCIAL SERVICES, INC.

Feb 2008 – Mar 2011

LOS ANGELES, CA

JEFFERSON PILOT SECURITIES CORP

Aug 2007 – Feb 2008

FAIR OAKS RANCH, CA

AXA ADVISORS, LLC

May 2003 – Jun 2006

LOS ANGELES, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 3

Series 7

Series 24

Series 66

Registration record

First registered · May 12, 2003

Years registered · 23

Professional designation · CFP

Disclosure History

2026Judgment / Lien

2024Judgment / Lien

2 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

M3 ASSET MANAGEMENT, INC.

CRD 169461 · SEC 801-78863

AUM

$36M

Regulatory assets under management

Employees

113 client accounts

Services offered by M3 ASSET MANAGEMENT, INC.

Per Form ADV

Portfolio management (individuals)

Selection of other advisers

Other

Client types served by the firm

Per Form ADV

Individuals

View all advisors at M3 ASSET MANAGEMENT, INC. →

Introduction

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Frequently Asked Questions

What services does James Min Yoo offer?

James Min Yoo specializes in Investment Management, Wealth Management, Fee-Only Advisory. Contact their office in LOS ANGELES, California for a consultation.

What are James Min Yoo's credentials?

James Min Yoo holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.

Where is James Min Yoo located?

James Min Yoo is based in LOS ANGELES, California, working with M3 ASSET MANAGEMENT, INC.. Their office serves clients in the LOS ANGELES metropolitan area and surrounding communities.

How does James Min Yoo charge for services?

James Min Yoo's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is M3 ASSET MANAGEMENT, INC.?

M3 ASSET MANAGEMENT, INC. has approximately 1 employees and manages $36M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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