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
TH

Timothy Y. Hsu

OCM INVESTMENTS
Los Angeles, CA 90071
Some features on this profile are disabled
CRD#: 5713655
TH

Professional summary

Timothy Y Hsu is a registered financial professional currently at OCM INVESTMENTS, LLC located in Los Angeles, California.

Timothy is registered as a RR (Registered Representative) and started their career in finance in 2009. Timothy has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Timothy Y Hsu'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

September 3, 2020 - Present

OCM INVESTMENTS, LLC

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

May 23, 2013 - September 4, 2020

BLACKROCK FUND ADVISORS

RIA
CRD#: 105247
SAN FRANCISCO, CA
Past

May 22, 2013 - September 4, 2020

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
SAN FRANCISCO, CA
Past

September 7, 2012 - May 23, 2013

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
PITTSBURGH, PA
Past

October 6, 2009 - May 23, 2013

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
PITTSBURGH, PA

State Registrations and Notice Filings

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

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
Alabama
(9/3/2020)
RR
Alaska
(9/3/2020)
RR
Arizona
(9/3/2020)
RR
Arkansas
(9/3/2020)
RR
California
(9/3/2020)
RR
Colorado
(9/3/2020)
RR
Connecticut
(9/3/2020)
RR
Delaware
(9/3/2020)
RR
District of Columbia
(9/3/2020)
RR
Florida
(9/3/2020)
RR
Georgia
(9/3/2020)
RR
Hawaii
(9/3/2020)
RR
Idaho
(9/3/2020)
RR
Illinois
(9/3/2020)
RR
Indiana
(9/3/2020)
RR
Iowa
(9/3/2020)
RR
Kansas
(9/3/2020)
RR
Kentucky
(9/3/2020)
RR
Louisiana
(9/3/2020)
RR
Maine
(9/3/2020)
RR
Maryland
(9/3/2020)
RR
Massachusetts
(9/3/2020)
RR
Michigan
(9/3/2020)
RR
Minnesota
(9/3/2020)
RR
Mississippi
(9/3/2020)
RR
Missouri
(9/3/2020)
RR
Montana
(9/3/2020)
RR
Nebraska
(9/3/2020)
RR
Nevada
(9/3/2020)
RR
New Hampshire
(9/3/2020)
RR
New Jersey
(9/3/2020)
RR
New Mexico
(9/3/2020)
RR
New York
(9/3/2020)
RR
North Carolina
(9/3/2020)
RR
North Dakota
(9/3/2020)
RR
Ohio
(9/7/2020)
RR
Oklahoma
(9/3/2020)
RR
Oregon
(9/3/2020)
RR
Pennsylvania
(9/3/2020)
RR
Puerto Rico
(9/3/2020)
RR
Rhode Island
(9/3/2020)
RR
South Carolina
(9/3/2020)
RR
South Dakota
(9/3/2020)
RR
Tennessee
(9/3/2020)
RR
Texas
(9/3/2020)
RR
Utah
(9/3/2020)
RR
Vermont
(9/3/2020)
RR
Virginia
(9/3/2020)
RR
Washington
(9/3/2020)
RR
West Virginia
(9/3/2020)
RR
Wisconsin
(9/3/2020)
RR
Wyoming
(9/3/2020)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/24/2009
Uniform Combined 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: 10/5/2009
General Securities Representative 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 Timothy Hsu

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

Similar Advisors

Jon Derek Neuhaus
Jon NeuhausAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
El Segundo, CA
Kenneth Hickman
Kenneth HickmanAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brea, CA
John Tanner Powell
John PowellAdvisorCheck Check Mark
EQUITABLE ADVISORS, LLC
IAR
RR
Los Angeles, 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
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.
Powered ByAIRM Analytics