John G. Um

AMERICAN ASSETS INVESTMENT MANAGEMENT

SAN DIEGO, CA 92121

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CRD#: 3226191

Professional summary

John Geeyong Um, who also goes by John G Um, is a registered financial advisor currently at AMERICAN ASSETS INVESTMENT MANAGEMENT, LLC located in San Diego, California.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. John has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John G Um

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) - RIA

Click below to view John Geeyong Um'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 15, 2013 - Present

AMERICAN ASSETS INVESTMENT MANAGEMENT, LLC

Office #1: 3430 Carmel Mountain Road, Ste. 150, San Diego, CA 92121

RIA

CRD#: 131660

SAN DIEGO, CA

Past

February 24, 2004 - March 4, 2005

RBC CAPITAL MARKETS CORPORATION

CRD#: 6579

NEW YORK, NY

Past

January 2, 2003 - February 18, 2004

W.R. HAMBRECHT + CO., LLC

CRD#: 45040

SAN FRANCISCO, 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".

AMERICAN ASSETS INVESTMENT MANAGEMENT, LLC

AACA | AMERICAN ASSETS INVESTMENT MANAGEMENT, LLC | AMERICAN ASSETS CAPITAL ADVISERS

CRD#: 131660 / SEC#: 801-65209

RIA

Registered Investment Advisory firm - (1/18/2006 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
(1/15/2013)

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: 1/14/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/10/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/27/2002

General Securities Representative Examination

Current Firm

AMERICAN ASSETS INVESTMENT MANAGEMENT, LLC

AACA | AMERICAN ASSETS INVESTMENT MANAGEMENT, LLC | AMERICAN ASSETS CAPITAL ADVISERS

CRD#: 131660 / SEC#: 801-65209

RIA

Registered Investment Advisory firm - (1/18/2006 Approved)

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Contact information

Main Address

3430 Carmel Mountain Road, Ste. 150 Suite 150, San Diego, CA 92121

Mailing Address

Phone number

(858) 345-1461

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AMERICAN ASSETS INVESTMENT MANAGEMENT, LLC FORM 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts	11
AUM (Assets Under Management)	$ 4,896,842,782

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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John G. Um

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Geeyong Um's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERICAN ASSETS INVESTMENT MANAGEMENT, LLC

RBC CAPITAL MARKETS CORPORATION

W.R. HAMBRECHT + CO., LLC

Primary Firm SEC Registration

AMERICAN ASSETS INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/14/2013

Series 63

Date: 3/10/2004

Series 7

Date: 12/27/2002

Current Firm

AMERICAN ASSETS INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AMERICAN ASSETS INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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