YIM INVESTMENT MANAGEMENT, LLC ⚠ Disclosure events ACTIVE IA
⚠ Regulatory disclosure flag: FINRA reports regulatory or customer-dispute disclosure events for this firm. The specific details (regulatory actions, arbitrations, customer complaints, criminal events) live on the primary BrokerCheck page. This flag is the KYC tripwire that institutional vendors charge for.
Key facts
- FINRA firm ID
- 136984
- Firm name
- YIM INVESTMENT MANAGEMENT, LLC
- Other names / DBAs
- MARIO K.M. YIM AND ASSOCIATES, LLC; YIM INVESTMENT MANAGEMENT, LLC; YIM CAPITAL MANAGEMENT, LLC
- IA scope
- ACTIVE
- SEC IA file
- 801-64818
- Branches
- 1
- Disclosure events
- YES
- HQ
- HONOLULU, HI, 96826-2150, United States
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