Richard G. Lim
Professional summary
Richard G Lim, who also goes by Rick Lim, is a registered financial professional currently at ACE DIVERSIFIED CAPITAL, INC. located in San Gabriel, California.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1983. Richard has worked at 5 firms and has passed the SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard G Lim's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 7, 2006 - Present
ACE DIVERSIFIED CAPITAL, INC.
Office #1: 923 East Valley Blvd., Suite 213, San Gabriel, CA 91776January 20, 1996 - December 31, 2002
MUTUAL SERVICE CORPORATION
August 13, 1991 - October 25, 1996
VOYA FINANCIAL ADVISORS, INC.
December 6, 1990 - December 2, 1991
1717 CAPITAL MANAGEMENT COMPANY
May 26, 1988 - August 21, 1989
PRUCO SECURITIES, LLC.
August 15, 1983 - August 21, 1989
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/17/2006)
Exams
FINRA
Current Firm
ACE DIVERSIFIED CAPITAL, INC.
CRD#: 41768 / SEC#: , 8-49555
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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