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VL

Vichai J. Lim

Some features on this profile are disabled
CRD#: 1532587
VL

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.

Vichai J Lim, who also goes by VIc Lim, Vichai Jadesdanukul Lim, Vichai Lim, was a registered financial professional .

Vichai is a previously registered financial professional and started their career in finance in 1987. Vichai had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Vic Lim | Vichai Jadesdanukul Lim | Vichai Lim

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

September 19, 2019 - November 4, 2020

STRATEGIC FINANCIAL CONCEPTS, LLC

RIA
CRD#: 141849
Bellevue, WA
Past

August 22, 2017 - February 7, 2018

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
BELLEVUE, WA
Past

August 1, 2013 - September 1, 2015

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
KIRKLAND, WA
Past

January 27, 2000 - July 9, 2013

NYLIFE SECURITIES LLC

BD
CRD#: 5167
BELLEVUE, WA
Past

February 16, 1998 - June 21, 1999

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

September 1, 1987 - February 5, 1998

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA
Past

May 1, 1987 - February 5, 1998

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SF
STRATEGIC FINANCIAL CONCEPTS, LLC
AGILE RETIREMENT MANAGEMENT | WWK WEALTH ADVISORS | WEALTH MANAGEMENT DIVISION OF CAPITOL CREDIT UNION | TRILOGY FINANCIAL PLANNING | THE RETIREMENT ANSWER MAN | TEXAS PRIVATE ASSET MANAGEMENT LLC | STRATEGIC FINANCIAL CONCEPTS, LLC | STEVENS WEALTH MANAGEMENT | SEIDENBERGER & COMPANY | ROUND ROCK ASSET MANAGEMENT LLC | ROMANO WEALTH MANAGEMENT | RETIREVEST FINANCIAL SOLUTIONS, LLC. | RED OAK FINANCIAL ASSET MANAGEMENT | ONE XVI WEALTH, LLC | OAKS WEALTH MANAGEMENT | NFA WEALTH MANAGEMENT | NFA INSTITUTIONAL SERVICES | NFA EMPOWERS | NATIONAL FINANCIAL ALLIANCE, LLC | MOFFATT FINANCIAL STRATEGIES | MEIGS FINANCIAL ADVISORS, LLC | MAYFIELD STEVENS FINANCIAL ADVISORS | JEFFREY SOLINSKY WEALTH MANAGEMENT | JEFFERY L. SOLINSKY WEALTH MANAGEMENT, A DIVISION OF SOLINSKY GROUP | G2 WEALTH MANAGEMENT PARTNERS, LLC | CORPORATE FINANCIAL STRATEGIES, LLC | CONCHO INVESTMENT ADVISORS | CHRISTENSEN FINANCIAL SERVICES, INC. | CARROLL ADVISORY GROUP | CAPITAL RETIREMENT PLANNING GROUP | BURNET WEALTH MANAGEMENT, PLLC | BURNET ASSET MANAGEMENT | BUBELA WEALTH MANAGEMENT | BENEFIT PLANNING GROUP INSURANCE & WEALTH MANAGEMENT | BENEFIT PLANNING GROUP | BB&A FINANCIAL GROUP | ASSET PLANNING & CONSULTING LLC

CRD#: 141849 / SEC#: 801-67243

RIA
Registered Investment Advisory firm - (10/24/2006 Approved)

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

State Security Law Exam
IAR
Series 65
Date: 7/1/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/2/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/7/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/8/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/24/1986
Investment Company Products/Variable Contracts Representative Examination

Current Firm

SF
STRATEGIC FINANCIAL CONCEPTS, LLC
AGILE RETIREMENT MANAGEMENT | WWK WEALTH ADVISORS | WEALTH MANAGEMENT DIVISION OF CAPITOL CREDIT UNION | TRILOGY FINANCIAL PLANNING | THE RETIREMENT ANSWER MAN | TEXAS PRIVATE ASSET MANAGEMENT LLC | STRATEGIC FINANCIAL CONCEPTS, LLC | STEVENS WEALTH MANAGEMENT | SEIDENBERGER & COMPANY | ROUND ROCK ASSET MANAGEMENT LLC | ROMANO WEALTH MANAGEMENT | RETIREVEST FINANCIAL SOLUTIONS, LLC. | RED OAK FINANCIAL ASSET MANAGEMENT | ONE XVI WEALTH, LLC | OAKS WEALTH MANAGEMENT | NFA WEALTH MANAGEMENT | NFA INSTITUTIONAL SERVICES | NFA EMPOWERS | NATIONAL FINANCIAL ALLIANCE, LLC | MOFFATT FINANCIAL STRATEGIES | MEIGS FINANCIAL ADVISORS, LLC | MAYFIELD STEVENS FINANCIAL ADVISORS | JEFFREY SOLINSKY WEALTH MANAGEMENT | JEFFERY L. SOLINSKY WEALTH MANAGEMENT, A DIVISION OF SOLINSKY GROUP | G2 WEALTH MANAGEMENT PARTNERS, LLC | CORPORATE FINANCIAL STRATEGIES, LLC | CONCHO INVESTMENT ADVISORS | CHRISTENSEN FINANCIAL SERVICES, INC. | CARROLL ADVISORY GROUP | CAPITAL RETIREMENT PLANNING GROUP | BURNET WEALTH MANAGEMENT, PLLC | BURNET ASSET MANAGEMENT | BUBELA WEALTH MANAGEMENT | BENEFIT PLANNING GROUP INSURANCE & WEALTH MANAGEMENT | BENEFIT PLANNING GROUP | BB&A FINANCIAL GROUP | ASSET PLANNING & CONSULTING LLC

CRD#: 141849 / SEC#: 801-67243

RIA
Registered Investment Advisory firm - (10/24/2006 Approved)
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Contact information

Main Address
901 Ne Loop 410 Suite 100, San Antonio, TX 78209
Mailing Address
Phone number
(210) 737-7800
Established
Firm type
Fiscal year end
# of Employees
41

SEC notice filing (35 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FIRM BROCHURE (3/20/2025)

Regulatory assets under management

Total Number of Accounts3,290
AUM (Assets Under Management)$ 1,006,017,397

Red Flags

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

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

STRATEGIC FINANCIAL CONCEPTS, LLC

CRD#: 141849

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