Sun M. Shim

MASON & ASSOCIATES

Los Angeles, CA 90041

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CRD#: 2873133

Professional summary

Sun Mi Shim, CFP®, who also goes by Anne Kim, Sun Mi Kim, is a registered financial advisor currently at MASON & ASSOCIATES, INC. located in Los Angeles, California.

Sun is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Sun has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Anne Kim | Sun Mi Kim

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1)INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 2)SUN MI SHIM, NOTARY PUBLIC 7474 N. FIGUEROA STREET LOS ANGELES, CA 90041. BEGAN 07/01/2002 AS NOTARY PUBLIC. NOT INVESTMENT RELATED. DEVOTES 1 HR/YR. NONE DURING TRADING. 3)SUN MI SHIM, NOTARY PUBLIC 7474 N. FIGUEROA STREET LOS ANGELES, CA 90041. BEGAN 6/2011 AS CFP,EA DESIGNEE. INVESTMENT RELATED. DEVOTES 5 HR/WK-NONE DURING TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sun Mi Shim's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2006

Experience

Current

November 2, 2006 - Present

MASON & ASSOCIATES, INC.

Office #1: 7474 North Figueroa Street Suite 100, Los Angeles, CA 90041

RIA

CRD#: 141303

Los Angeles, CA

Past

November 2, 2006 - December 17, 2015

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

LOS ANGELES, CA

Past

November 14, 2005 - November 2, 2006

TRANSAMERICA FINANCIAL ADVISORS, INC.

RIA

CRD#: 3600

LOS ANGELES, CA

Past

May 6, 2002 - November 2, 2006

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

LOS ANGELES, CA

Past

October 11, 2001 - January 30, 2002

POINT DIREX SECURITIES, LLC

CRD#: 41437

ORLANDO, FL

Past

September 25, 2000 - June 29, 2001

EVOLUTION FINANCIAL TECHNOLOGIES, LLC

CRD#: 104249

ISELIN, NJ

Past

May 3, 2000 - September 29, 2000

GENESIS ADVISORS, INC.

CRD#: 15038

NEW YORK, NY

Past

March 24, 1999 - April 28, 2000

PROVIDENTIAL SECURITIES, INC.

CRD#: 31189

FOUNTAIN VALLEY, CA

Past

January 1, 1998 - August 21, 1998

GO TRADING, INC.

CRD#: 41355

LOS ANGELES, CA

Past

April 30, 1997 - August 25, 1998

PROVIDENTIAL SECURITIES, INC.

CRD#: 31189

FOUNTAIN VALLEY, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MASON & ASSOCIATES, INC.

MASON & ASSOCIATES INSURANCE SERVICES LLC. | TRANSFORMATIVE WEALTH MANAGEMENT | MASON & ASSOCIATES, INC.

CRD#: 141303 / SEC#: 801-67068

RIA

Registered Investment Advisory firm - (8/3/2006 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(11/2/2006)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/4/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/26/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/17/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 2/1/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 4/10/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 2/4/2003

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 9/19/2000

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/8/1997

General Securities Principal Examination

Current Firm

MASON & ASSOCIATES, INC.

MASON & ASSOCIATES INSURANCE SERVICES LLC. | TRANSFORMATIVE WEALTH MANAGEMENT | MASON & ASSOCIATES, INC.

CRD#: 141303 / SEC#: 801-67068

RIA

Registered Investment Advisory firm - (8/3/2006 Approved)

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Contact information

Main Address

7474 North Figueroa Street Suite 100, Los Angeles, CA 90041

Mailing Address

Phone number

(323) 254-3072

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A FIRM BROCHURE - TRANSFORMATIVE WEALTH MANAGEMENT (10/22/2025)

ADV 2A FIRM BROCHURE (6/5/2025)

Regulatory assets under management

Total Number of Accounts	1,822
AUM (Assets Under Management)	$ 631,260,155

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Sun M. Shim

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sun Mi Shim's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

TRANSAMERICA FINANCIAL ADVISORS, INC.

TRANSAMERICA FINANCIAL ADVISORS, INC.

POINT DIREX SECURITIES, LLC

EVOLUTION FINANCIAL TECHNOLOGIES, LLC

GENESIS ADVISORS, INC.

PROVIDENTIAL SECURITIES, INC.

GO TRADING, INC.

PROVIDENTIAL SECURITIES, INC.

Primary Firm SEC Registration

MASON & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/4/2003

Series 63

Date: 7/26/1997

SIE

Date: 12/17/2015

Series 55

Date: 2/1/2000

Series 7

Date: 4/10/1997

Series 53

Date: 2/4/2003

Series 4

Date: 9/19/2000

Series 24

Date: 9/8/1997

Current Firm

MASON & ASSOCIATES, INC.

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MASON & ASSOCIATES, INC.

TRUST BUT VERIFY

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