AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
AP

Ashley C. Pak

OCM INVESTMENTS
Los Angeles, CA 90071
Some features on this profile are disabled
CRD#: 3189663
AP

Professional summary

Ashley Chi Pak, who also goes by Ashley Chi-youn Pak, is a registered financial professional currently at OCM INVESTMENTS, LLC located in Los Angeles, California.

Ashley is registered as a RR (Registered Representative) and started their career in finance in 2001. Ashley has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 28 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ashley Chi-Youn Pak

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ashley Chi Pak'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®
None

Experience

Current

January 20, 2009 - Present

OCM INVESTMENTS, LLC

Office #1: 333 South Grand Avenue 28th Floor, Los Angeles, CA, 90071
BD
CRD#: 128803
Los Angeles, CA
Past

July 16, 2005 - November 7, 2007

ASSOCIATED PLANNERS INVESTMENT ADVISORY INC

RIA
CRD#: 104790
LOS ANGELES, CA
Past

May 25, 2005 - March 12, 2007

ASSOCIATED SECURITIES CORP.

BD
CRD#: 12969
EL SEGUNDO, CA
Past

January 3, 2005 - May 16, 2005

MWAM DISTRIBUTORS, LLC

BD
CRD#: 132031
LOS ANGELES, CA
Past

July 24, 2003 - November 29, 2004

ASSOCIATED PLANNERS INVESTMENT ADVISORY INC

RIA
CRD#: 104790
LOS ANGELES, CA
Past

March 24, 2003 - November 29, 2004

ASSOCIATED SECURITIES CORP.

BD
CRD#: 12969
BOSTON, MA
Past

March 9, 2001 - March 5, 2003

ASIA PACIFIC FINANCIAL MANAGEMENT GROUP, INC.

BD
CRD#: 32338
HAGATNA,

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/23/2003
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/18/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/25/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/23/2003
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 28
Date: 8/26/2001
Introducing Broker/Dealer Financial Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

OI
OCM INVESTMENTS, LLC
OCM INVESTMENTS, LLC

CRD#: 128803 / SEC#: , 8-66176

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
333 South Grand Avenue (28th Floor), Los Angeles, CA 90071
Mailing Address
333 South Grand Avenue (28th Floor), Los Angeles, CA 90071
Phone number
(213) 830-6300
Established
Delaware since 08/04/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
OAKTREE CAPITAL MANAGEMENT, L.P.MANAGING MEMBER106793
EDWARDS, JOHN BREWERFINOP/CFO4714451
TOOMEY, MICHAEL PATRICKCCO4482914
TREFZ, MICHAEL CONSTANTINECHIEF EXECUTIVE OFFICER3144335

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.

Company Information

OCM INVESTMENTS, LLC

CRD#: 128803Los Angeles, CA 90071

TRUST BUT VERIFY

Monitor Ashley Pak

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Danielle Purcell Barrios
Danielle BarriosAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
Beverly Hills, CA
Kenneth Hickman
Kenneth HickmanAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brea, CA
Jon Derek Neuhaus
Jon NeuhausAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
El Segundo, CA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.