James B. Yim
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Byongmin Yim was a registered financial advisor .
James is a previously registered financial advisor and started their career in finance in 1998. James had worked at 4 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2006 - December 31, 2006
YIM INVESTMENT CONSULTING GROUP
October 31, 2005 - June 9, 2006
OSAIC SERVICES, INC.
October 31, 2005 - June 9, 2006
OSAIC SERVICES, INC.
January 7, 2005 - October 31, 2005
SUNAMERICA SECURITIES, INC.
June 9, 2004 - October 31, 2005
SUNAMERICA SECURITIES, INC.
September 30, 2002 - May 25, 2004
MORGAN STANLEY DW INC.
December 22, 1998 - May 25, 2004
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current firm
No current employment
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.
