Unclaimed Profile

Sun Mi Shim

MASON & ASSOCIATES, INC.·LOS ANGELES, California

SIE, Series 4, Series 7, Series 24, Series 53, Series 55, Series 63, Series 65CFPClean record20 years registeredMASON & ASSOCIATES, INC.

7474 NORTH FIGUEROA STREET, LOS ANGELES, CA 90041CRD# 2873133Firm CRD# 141303

Profile Verification

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

Identity

Sun Mi Shim · LOS ANGELES, CA

Registration

CRD #2873133 · MASON & ASSOCIATES, INC. · 20 years registered

Brand Profile

Not yet started

Career History

MASON & ASSOCIATES, INC.

Nov 2006 – present

TRANSAMERICA FINANCIAL ADVISORS, INC.

Nov 2005 – Nov 2006

LOS ANGELES, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 4

Series 7

Series 24

Series 53

Series 55

Series 63

Series 65

Registration record

First registered · November 14, 2005

Years registered · 20

Professional designation · CFP

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

MASON & ASSOCIATES, INC.

CRD 141303 · SEC 801-67068

AUM

$540M

Regulatory assets under management

Employees

1,717 client accounts

Services offered by MASON & ASSOCIATES, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at MASON & ASSOCIATES, INC. →

Introduction

Speak with Sun

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Sun is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in LOS ANGELES?

Browse all registered financial advisors in LOS ANGELES, California or claim this profile if it's yours.

Browse LOS ANGELES Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does Sun Mi Shim offer?

Sun Mi Shim specializes in Financial Planning, Investment Management. Contact their office in LOS ANGELES, California for a consultation.

What are Sun Mi Shim's credentials?

Sun Mi Shim holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Sun Mi Shim located?

Sun Mi Shim is based in LOS ANGELES, California, working with MASON & ASSOCIATES, INC.. Their office serves clients in the LOS ANGELES metropolitan area and surrounding communities.

How does Sun Mi Shim charge for services?

Sun Mi Shim's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is MASON & ASSOCIATES, INC.?

MASON & ASSOCIATES, INC. has approximately 7 employees and manages $540M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →