Unclaimed Profile

Mario Kai Ming Yim

YIM INVESTMENT MANAGEMENT, LLC·HONOLULU, Hawaii

SIE, Series 7, Series 24, Series 63, Series 65, Series 99TOCFP26 years registeredYIM INVESTMENT MANAGEMENT, LLC

1950 YOUNG STREET SUITE 288, HONOLULU, HI 96826-2150CRD# 2565839Firm CRD# 136984

Profile Verification

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

Identity

Mario Kai Ming Yim · HONOLULU, HI

Registration

CRD #2565839 · YIM INVESTMENT MANAGEMENT, LLC · 26 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: YIM INVESTMENT MANAGEMENT, LLC

YIM INVESTMENT MANAGEMENT, LLC

Jul 2006 – Dec 2022

HONOLULU, HI

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Sep 2005 – Jun 2006

HONOLULU, HI

RAYMOND JAMES FINANCIAL SERVICES

Nov 1999 – Sep 2005

HONOLULU, HI

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 63

Series 65

Series 99TO

Registration record

First registered · November 2, 1999

Years registered · 26

Professional designation · CFP

Disclosure History

2003Customer Dispute·Award / Judgment

2001Customer Dispute·Closed-No Action

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

YIM INVESTMENT MANAGEMENT, LLC

CRD 136984 · SEC 801-64818

AUM

$242M

Regulatory assets under management

Employees

1,456 client accounts

Services offered by YIM INVESTMENT MANAGEMENT, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Market timing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at YIM INVESTMENT MANAGEMENT, LLC →

Introduction

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Frequently Asked Questions

What services does Mario Kai Ming Yim offer?

Mario Kai Ming Yim specializes in Financial Planning, Investment Management, Wealth Management.

What are Mario Kai Ming Yim's credentials?

Mario Kai Ming Yim holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Mario Kai Ming Yim located?

Mario Kai Ming Yim is based in HONOLULU, Hawaii, last registered with YIM INVESTMENT MANAGEMENT, LLC.

How does Mario Kai Ming Yim charge for services?

Mario Kai Ming Yim's firm is compensated through percentage of aum, commissions. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is YIM INVESTMENT MANAGEMENT, LLC?

YIM INVESTMENT MANAGEMENT, LLC has approximately 6 employees and manages $242M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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