AdFi
JM

James Min Yoo

Investment Adviser Representative at EMERSON EQUITY LLC

Thousand Oaks, CACRD #4640401Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
23 yrs
States Registered
2 states
Exams Passed
5

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

James Min Yoo has worked in the securities industry since 2003. They have passed the Series 66, 24, 7, and 3 examinations. They are registered to provide investment advisory services in California and Nevada.

Registrations & licenses

Registration type
Dual-registered
Registered in 2 states
CaliforniaNevada
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 5/9/2003
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 3
National Commodity Futures Examination
Passed 8/15/2012
Series 7
General Securities Representative Examination
Passed 4/22/2003
Series 24
General Securities Principal Examination
Passed 10/15/2014

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Blended rate
0.025
Source

Emerson Equity LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

TEAM ELEVATED ASSET MANAGEMENTCurrent
1/5/2023Thousand Oaks, CA
GNH ASSET MANAGEMENT, INC.
7/23/201510/24/2023Thousand Oaks, CA
M3 ASSET MANAGEMENT, INC.
1/3/20146/2/2015Los Angeles, CA
MORGAN STANLEY
6/8/20111/16/2014Los Angeles, CA
PRIMEVEST FINANCIAL SERVICES, INC.
2/21/20083/21/2011Los Angeles, CA
JEFFERSON PILOT SECURITIES CORP
8/3/20072/26/2008Fair Oaks Ranch, CA
AXA ADVISORS, LLC
5/12/20036/8/2006Los Angeles, CA

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

Other advisors at EMERSON EQUITY LLC

Showing 12 of 122 in the directory

View EMERSON EQUITY LLC firm profile
About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. James Min Yoo has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.

Find the right advisor for you

Take the free 3-minute assessment to get matched with advisors who fit your goals.

Get Matched