Sun Shim has been Vice President of Mason & Associates since January 2007, is a control person of the firm and directly owns under 5% of it. Sun Shim holds a Bachelor of Science in Business/Accounting from the University of Phoenix.
Mason & Associates, Inc. is a Los Angeles, CA firm with $829M under management, 698 clients and 8 advisers across 2 offices, as of its January 2026 filing.
Anne Shim is Vice President and Financial Planning Advisor of Mason & Associates, Inc. She has over 30 years of financial services experience and handles financial planning matters for new and existing clients of the firm. As a licensed tax professional, she works with clients' tax professionals and estate planning attorneys on tax and estate planning matters.
Sun Shim’s longest registration is the current one, 19 years at Mason & Associates since 2006. Before joining Mason & Associates in 2006, Sun Shim was registered through Transamerica Financial Advisors, Inc.
- Mason & Associates, Inc.Current– present · 19 yearsLos Angeles, CA · Adviser representative · Firm CRD 141303
- Transamerica Financial Advisors, Inc.– · under a yearLos Angeles, CA · Adviser representative · Firm CRD 3600
Professional designations
Listed by Mason & Associates
- Certified Financial Planner (CFP®)
- Accredited Estate Planner (AEP®)
- Certified Tax Coach™ (CTC)
Investment adviser representative registrations
Sun Shim is registered as an investment adviser representative in California, since November 2006.
- CaliforniaSince 2 November 2006
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 4 November 2003 |
| Series 53 | Municipal Securities Principal Examination | 4 February 2003 |
| Series 4 | Registered Options Principal Examination | 19 September 2000 |
| Series 55 | Limited Representative-Equity Trader Exam | 1 February 2000 |
| Series 24 | General Securities Principal Examination | 8 September 1997 |
| Series 63 | Uniform Securities Agent State Law Examination | 26 July 1997 |
| Series 7 | General Securities Representative Examination | 10 April 1997 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Municipal Securities Principal Examination
- Name
- Registered Options Principal Examination
- Name
- Limited Representative-Equity Trader Exam
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Sun Mi Shim
- CRD
- 2873133
- Firm
- Mason & Associates · CRD 141303
- Role
- Vice President
- Office
- 7474 NORTH FIGUEROA STREET, SUITE 100, Los Angeles, CA 90041
- Registration
- Investment adviser registration
- In the industry since
- November 2005
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- masonlifeplanning.com
Where does Sun Shim work?
Sun Shim has been Vice President of Mason & Associates, Inc. since January 2007, and is a control person of the firm.
Is Sun Shim a financial advisor?
Yes. Sun Shim has a current investment-adviser registration in California, through Mason & Associates since November 2006.
How many years of experience does Sun Shim have?
Sun Shim has 20 years in the financial industry, since November 2005, across 2 adviser firms.
What exams has Sun Shim passed?
Sun Shim has passed 7 licensing exams: the Series 7, Series 63, Series 24, Series 55, Series 4, Series 53 and Series 65. The earliest, the Series 7, was passed in April 1997. FINRA credited Sun Shim with the SIE, which began in October 2018.
Where did Sun Shim work before Mason & Associates?
Before Mason & Associates, Sun Shim was registered through Transamerica Financial Advisors, Inc., November 2005 to November 2006.
Where is Sun Shim based?
Sun Shim’s registered office is in Los Angeles, CA.
Is Sun Shim registered with FINRA?
No. Sun Shim has no current broker registration.
Is Sun Shim a CFP?
Mason & Associates lists Sun Shim with the CFP credential (“Certified Financial Planner (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify Sun Shim’s record?
Search CRD 2873133 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Sun Shim’s full registration record.
