Rosalia D. 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.
Rosalia De La Rosa Lim, who also goes by Rosalia R Lim, was a registered financial professional .
Rosalia is a previously registered financial professional and started their career in finance in 1990. Rosalia had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2010 - November 20, 2021
TD AMERITRADE, INC.
August 9, 2010 - November 20, 2021
TD AMERITRADE, INC.
August 9, 2010 - November 20, 2021
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
June 20, 2002 - September 16, 2008
UBS FINANCIAL SERVICES INC.
August 11, 1995 - September 16, 2008
UBS FINANCIAL SERVICES INC.
January 28, 1995 - July 10, 1995
UBS FINANCIAL SERVICES INC.
January 12, 1994 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
March 3, 1991 - January 18, 1994
MORGAN STANLEY DW INC.
January 23, 1990 - April 20, 1990
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 6/28/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
