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JAMES MIN YOO
CRD#: 4640401
IA
Investment Adviser
B
Broker
TEAM ELEVATED ASSET MANAGEMENTCRD#: 321979 100 E THOUSAND OAKS BLVD, SUITE 140
THOUSAND OAKS, CA 91360
EMERSON EQUITY LLCCRD#: 130032 100 E. Thousand Oaks Blvd.
Suite 140
Thousand Oaks, CA 91360
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2003 - 2006 (3 years)2 FIRMS2007 - 2008 (<1 year)2 FIRMS2008 - 2011 (3 years)2 FIRMS2011 - 2014 (2 years)2 FIRMS2023 - Present (2 years)BCOLORADO FINANCIAL SERVICE COR... (CRD# 104343)2016 - 2023 (7 years)BMUTUAL SECURITIES, INC. (CRD# 13092)2014 - 2016 (2 years)BFINANCIAL NETWORK INVESTMENT C... (CRD# 13572)2007 - 2007 (<1 year)BNYLIFE SECURITIES INC. (CRD# 5167)2006 - 2007 (<1 year)IAGNH ASSET MANAGEMENT, INC. (CRD# 188517)2015 - 2023 (8 years)IAM3 ASSET MANAGEMENT, INC. (CRD# 169461)2014 - 2015 (1 year)
Disclosure(s)
View By:
4/25/2024
Judgment / Lien
License(s)

State Registrations

IA
California 1/5/2023

B
Nevada 11/14/2023

B
California 11/14/2023

B
New Jersey 11/14/2023

B
Illinois 11/14/2023

B
New York 11/14/2023

IA
Nevada 3/9/2023

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
TEAM ELEVATED ASSET MANAGEMENT (CRD#:321979)
100 E THOUSAND OAKS BLVD, SUITE 140, THOUSAND OAKS, CA 91360
Registered with this firm since 1/5/2023

B
EMERSON EQUITY LLC (CRD#:130032)
100 E. Thousand Oaks Blvd. Suite 140, Thousand Oaks, CA 91360
871 Coronado Center Drive Suite 200, Henderson, NV 89052
Registered with this firm since 11/14/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
B
08/04/2016 - 11/15/2023 COLORADO FINANCIAL SERVICE CORPORATION (CRD#:104343) CENTENNIAL, CO
IA
07/23/2015 - 10/24/2023 GNH ASSET MANAGEMENT, INC. (CRD#:188517) THOUSAND OAKS, CA
B
02/05/2014 - 08/08/2016 MUTUAL SECURITIES, INC. (CRD#:13092) LOS ANGELES, CA
IA
01/03/2014 - 06/02/2015 M3 ASSET MANAGEMENT, INC. (CRD#:169461) LOS ANGELES, CA
IA
06/08/2011 - 01/16/2014 MORGAN STANLEY (CRD#:149777) LOS ANGELES, CA
B
06/08/2011 - 01/16/2014 MORGAN STANLEY (CRD#:149777) LOS ANGELES, CA
IA
02/21/2008 - 03/21/2011 PRIMEVEST FINANCIAL SERVICES, INC. (CRD#:15340) LOS ANGELES, CA
B
02/21/2008 - 03/21/2011 PRIMEVEST FINANCIAL SERVICES, INC. (CRD#:15340) LOS ANGELES, CA
IA
08/03/2007 - 02/26/2008 JEFFERSON PILOT SECURITIES CORP (CRD#:3870) FAIR OAKS RANCH, CA
B
08/03/2007 - 02/26/2008 JEFFERSON PILOT SECURITIES CORPORATION (CRD#:3870) FAIR OAKS RANCH, CA
B
02/27/2007 - 08/01/2007 FINANCIAL NETWORK INVESTMENT CORPORATION (CRD#:13572) LOS ANGELES, CA
B
06/26/2006 - 01/08/2007 NYLIFE SECURITIES INC. (CRD#:5167) LOS ANGELES, CA
IA
05/12/2003 - 06/08/2006 AXA ADVISORS, LLC (CRD#:6627) LOS ANGELES, CA
B
04/24/2003 - 06/08/2006 AXA ADVISORS, LLC (CRD#:6627) LOS ANGELES, CA
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B
Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.