Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sun? Claim Your ProfileSun Mi Shim is a financial advisor with over 20 years of experience in the financial services industry. Sun Mi is currently registered with Mason & Associates, Inc. and holds a variety of licenses and certifications including Series 7, 24, 53, 55, 63, and 65. Sun Mi also holds the Certified Financial Planner designation. Sun Mi specializes in providing financial planning, portfolio management, and selection of other advisors.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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CA
11/02/2006 - Present
Mason & Associates, Inc. (LOS ANGELES CA)
CA
11/02/2006 - 12/17/2015
CAMBRIDGE INVESTMENT RESEARCH, INC. (LOS ANGELES CA)
CA
05/06/2002 - 11/02/2006
TRANSAMERICA FINANCIAL ADVISORS, INC. (LOS ANGELES CA)
FL
10/11/2001 - 01/30/2002
POINT DIREX SECURITIES, LLC (ORLANDO FL)
NJ
09/25/2000 - 06/29/2001
SONIC TECHNOLOGIES LLC (ISELIN NJ)
NY
05/03/2000 - 09/29/2000
GENESIS ADVISORS, INC. (NEW YORK NY)
CA
03/24/1999 - 04/28/2000
PROVIDENTIAL SECURITIES, INC. (FOUNTAIN VALLEY CA)
CA
04/30/1997 - 08/25/1998
PROVIDENTIAL SECURITIES, INC. (FOUNTAIN VALLEY CA)
CA
01/01/1998 - 08/21/1998
GO TRADING, INC. (LOS ANGELES CA)
IA
Issued 11/04/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/26/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/04/2003
Series 53 - Municipal Securities Principal Examination
BC
Issued 09/19/2000
Series 4 - Registered Options Principal Examination
BC
Issued 09/08/1997
Series 24 - General Securities Principal Examination
BC
Issued 12/17/2015
SIE - Securities Industry Essentials Examination
BC
Issued 02/01/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 04/10/1997
Series 7 - General Securities Representative Examination
Active
Inactive
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