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JL

Jae Y. Lim

Some features on this profile are disabled
CRD#: 1003677
JL

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

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 13, 1999 - March 6, 2002

HANMI SECURITIES, INC.

BD
CRD#: 25518
LOS ANGELES, CA
Past

November 26, 1981 - April 22, 1999

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

November 26, 1981 - April 22, 1999

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7
Date: 10/18/1986
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 2/7/1984
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/15/1981
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 12/28/1995
Investment Company Products/Variable Contracts Principal Examination

Current Firm

HS
HANMI SECURITIES, INC.
HANMI SECURITIES, INC. | XCITETRADE

CRD#: 25518 / SEC#: , 8-41765

BD
Cancelled by SEC on 07/15/2005
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
New Jersey since 06/29/1989
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
HANMI CAPITAL GROUP,INC.HOLDING COMPANY
LEE, BOM ICHAIRMAN, DIRECTOR305150
CHOI, EUL HYUNGPRESIDENT, CEO, CFO,CROP,SROP,DIRECTOR1592055

Disclosures

Regulatory Event11
Arbitration4

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

HANMI SECURITIES, INC.

CRD#: 25518

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