MP
Mimi Y. Park
U.S. BANCORP INVESTMENTS
Century City, CA 90067
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CRD#: 4684111
MP
Professional summary
Mimi Yoo Park is a registered financial advisor currently at U.S. BANCORP INVESTMENTS, INC. located in Century City, California.
Mimi is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Mimi has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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)9/22/17- CB&T Wealth Advisors- DBA for LPL Business (entity for LPL business)- Inv. Related- at reported business location(s)-100% 2)11/17/2017 - ZB, N.A., DBA Wealth & Fiduciary Services - Investment Related - At Reported Business Location(s) - Financial Institution Duty - start date 11/06/2017 - 5 hours per month/5 hours during securities trading.
CRS (Client Relationship Summary) - RIA
Click below to view Mimi Yoo Park's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mimi Yoo Park's 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®
NoneExperience
Current
November 7, 2022 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 1800 Ave Of The Stars, Century City, CA 90067Office #2: 2232 Santa Monica Blvd, Santa Monica, CA 90404Office #3: 10900 Wilshire Blvd Ste 101, Los Angeles, CA 90024Office #4: 3302 Pico Blvd, Santa Monica, CA 90405RIA
BD
CRD#: 17868
Century City, CA
Current
November 4, 2022 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 1800 Ave Of The Stars, Century City, CA 90067Office #2: 2232 Santa Monica Blvd, Santa Monica, CA 90404Office #3: 10900 Wilshire Blvd Ste 101, Los Angeles, CA 90024Office #4: 3302 Pico Blvd, Santa Monica, CA 90405RIA
BD
CRD#: 17868
Century City, CA
Past
September 22, 2017 - November 14, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
LOS ANGELES, CA
Past
September 22, 2017 - November 14, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
LOS ANGELES, CA
Past
June 11, 2013 - September 28, 2017
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
LOS ANGELES, CA
Past
June 11, 2013 - September 28, 2017
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
LOS ANGELES, CA
Past
March 17, 2011 - June 11, 2013
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
STUDIO CIRY, CA
Past
March 17, 2011 - June 11, 2013
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
STUDIO CITY, CA
Past
October 28, 2010 - March 22, 2011
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
LOS ANGELES, CA
Past
September 15, 2008 - March 22, 2011
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
LOS ANGELES, CA
Past
November 9, 2004 - August 1, 2008
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
LOS ANGELES, CA
Past
September 25, 2003 - August 1, 2008
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
LOS ANGELES, 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".
UB
U.S. BANCORP INVESTMENTS, INC.
CENTRAL INVESTMENT SERVICES, INC. | US BANCORP | U.S. BANCORP INVESTMENTS, INC. | U.S. BANCORP INVESTMENTS | FBS INVESTMENT SERVICES, INC.
CRD#: 17868 / SEC#: 801-68122, 8-35359
RIA
Registered Investment Advisory firm - SEC (7/23/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)California
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)Idaho
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/23/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/25/2007 Terminated)Missouri
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nebraska
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/15/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Washington
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(11/8/2022)
RR
Arizona(11/8/2022)
RR
California(11/4/2022)
IAR
California(11/7/2022)
RR
Connecticut(7/7/2023)
RR
Delaware(11/8/2022)
RR
Massachusetts(11/9/2022)
RR
Minnesota(4/10/2023)
RR
Nevada(11/8/2022)
RR
New York(11/8/2022)
RR
Oregon(11/8/2022)
RR
Texas(11/8/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
UB
U.S. BANCORP INVESTMENTS, INC.
CENTRAL INVESTMENT SERVICES, INC. | US BANCORP | U.S. BANCORP INVESTMENTS, INC. | U.S. BANCORP INVESTMENTS | FBS INVESTMENT SERVICES, INC.
CRD#: 17868 / SEC#: 801-68122, 8-35359
RIA
Registered Investment Advisory firm - SEC (7/23/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)California
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)Idaho
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/23/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/25/2007 Terminated)Missouri
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nebraska
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/15/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Washington
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
60 Livingston Avenue Ep-mn-n2wc, Saint Paul, MN 55107
Mailing Address
60 Livingston Avenue Ep-mn-n2wc, Saint Paul, MN 55107
Phone number
(800) 888-4700
Established
Delaware since 02/25/1974
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
2,152
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BANCORP | PARENT CORPORATION | |
| AHMAD, MASOOD | SENIOR VICE PRESIDENT, OPERATIONS MANAGER | 7887624 |
| BEJASA, EILEEN | DIRECTOR | 7002808 |
| CLARK, SHANNON KEITH | DIRECTOR AND CHIEF FINANCIAL OFFICER | 5829700 |
| FERGUSON, KIMBERLY NICOLE | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 4120145 |
| FLOUM, JOEL IRA | DIRECTOR | 2405754 |
| LAWLOR, BETH D | DIRECTOR | 5352662 |
| MCCARTHY, MATTHEW RYAN | CHIEF LEGAL OFFICER | 6818984 |
| MOLLOY, JOHN WILLIAM JR. | DIRECTOR | 1939358 |
| ROLLAND, JODI THOMPSON | DIRECTOR | 2290884 |
| SALSTROM, KYLE NORMAN | CHIEF COMPLIANCE OFFICER, DIRECTOR | 5025315 |
| STEGEMEYER, STEPHEN KYLE | DIRECTOR | 2793064 |
| STEINER, STEPHEN WARD | CHIEF OPERATING OFFICER, SENIOR VICE PRESIDENT AND DIRECTOR | 2259345 |
| WHANG, JAMES | DIRECTOR | 2737019 |
Regulatory assets under management
| Total Number of Accounts | 66,996 |
| AUM (Assets Under Management) | $ 19,296,734,956 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 12 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/19/2024 | ||
| 11/21/2023 |
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.
