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Stella Jimin Shim

Stella J. Shim

SCHWAB WEALTH ADVISORY | Financial Consultant
Los Angeles, CA 90067
Some features on this profile are disabled
CRD#: 6108391
Stella Jimin Shim

Professional summary

Stella Jimin Shim, who also goes by Ji M Shim, Ji Min Shim, Stella J Shim, Stella Jimin Shim, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Los Angeles, California and CHARLES SCHWAB & CO., INC. located in Los Angeles, California.

Stella is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Stella has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Biography

My process, my business beliefs, and my values are all centered on you and my role is to help you strive for your financial goals by providing robust planning and investment guidance.
top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Ji M Shim | Ji Min Shim | Stella J Shim | Stella Jimin Shim

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.
OAA#: 50621 | Org Name:AZA Ventures LLC | Org Addr:Long Beach, CA, US | Nature of Bus:E-commerce selling hair accessories | Invst Rel:N | Title:Member | Duties:Creative Director | Start Dt:08/04/2017 | Total Hrs p/m:5 | Sec Trdng Hrs p/m:0

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stella Jimin Shim'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

Education

University of California, Los Angeles

Bachelor of Arts (BA) - Art History

2009

Experience

Current

June 13, 2025 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 2029 Century Park East Floor 37 & 38, Los Angeles, CA 90067
RIA
CRD#: 159035
Los Angeles, CA
Current

June 13, 2025 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 2029 Century Park East Suite 940, Los Angeles, CA 90067
RIA
BD
CRD#: 5393
Los Angeles, CA
Past

March 31, 2025 - May 28, 2025

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
BURBANK, CA
Past

July 13, 2018 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
BURBANK, CA
Past

February 9, 2017 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
BURBANK, CA
Past

February 7, 2017 - May 28, 2025

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
BURBANK, CA
Past

September 18, 2014 - June 28, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
COSTA MESA, CA
Past

September 18, 2014 - June 28, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
COSTA MESA, CA
Past

December 8, 2012 - July 16, 2014

MORGAN STANLEY

RIA
CRD#: 149777
NEW YORK, NY
Past

October 2, 2012 - July 16, 2014

MORGAN STANLEY

BD
CRD#: 149777
NEW YORK, NY

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".
SW
SCHWAB WEALTH ADVISORY, INC.
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA
Registered Investment Advisory firm - (12/9/2011 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.
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
California
(6/13/2025)
IAR
California
(6/13/2025)
RR
Utah
(10/17/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/7/2012
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: 10/1/2012
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

SW
SCHWAB WEALTH ADVISORY, INC.
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA
Registered Investment Advisory firm - (12/9/2011 Approved)
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Contact information

Main Address
211 Main Street, San Francisco, CA 94105-1901
Mailing Address
Phone number
(415) 667-7000
Established
Firm type
Fiscal year end
# of Employees
1,042

SEC notice filing (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SCHWAB WEALTH ADVISORY, INC. DISCLOSURE BROCHURE (9/23/2025)

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

SCHWAB WEALTH ADVISORY, INC.

Financial ConsultantCRD#: 159035Los Angeles, CA 90067

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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