Chung H. 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.
Chung Hoon Lim, who also goes by James C Lim, was a registered financial professional .
Chung is a previously registered financial professional and started their career in finance in 1998. Chung had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2017 - February 12, 2018
NORTH POINT MERGERS AND ACQUISITIONS, INC.
April 17, 2013 - January 28, 2015
KEYBANC CAPITAL MARKETS INC.
January 21, 2011 - May 28, 2013
KINGFISHER SECURITIES, LLC
June 25, 2009 - October 21, 2011
NORTH POINT MERGERS AND ACQUISITIONS, INC.
July 26, 2006 - April 17, 2009
CANTOR FITZGERALD & CO.
February 17, 2004 - July 25, 2006
PACIFIC GROWTH EQUITIES, LLC
April 16, 1998 - January 24, 2003
PIPER SANDLER & CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NORTH POINT MERGERS AND ACQUISITIONS, INC.
CRD#: 133300 / SEC#: , 8-66709
Contact information
FINRA licenses (22 States and Territories)
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.
