Pong C. Lim
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Pong Chat Lim was a registered financial professional .
Pong is a previously registered financial professional and started their career in finance in 1988. Pong had worked at 2 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2007 - March 25, 2015
LCG INVESTMENTS, LLC
February 23, 1988 - March 12, 1990
ROBERT THOMAS SECURITIES, INC
State Registrations and Notice Filings
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Exams
Current Firm
LCG INVESTMENTS, LLC
CRD#: 141406 / SEC#:
Contact information
Red Flags
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