Jae Y. Lim
Professional summary
Jae Young Lim was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jae is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, Jae had worked at 3 firms, which includes HANMI SECURITIES INC., THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, EQUITABLE ADVISORS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 1999 - March 6, 2002
HANMI SECURITIES, INC.
November 26, 1981 - April 22, 1999
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
November 26, 1981 - April 22, 1999
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
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Exams
Current Firm
HANMI SECURITIES, INC.
CRD#: 25518 / SEC#: , 8-41765
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Arbitration | 4 |
Red Flags
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