Shie L. 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.
Shie Ling Lim was a registered financial professional .
Shie is a previously registered financial professional and started their career in finance in 1993. Shie had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2019 - December 31, 2023
THE INVESTMENT CENTER, INC.
October 21, 2015 - December 31, 2017
PACKERLAND BROKERAGE SERVICES, INC.
September 12, 2013 - August 21, 2015
ONEAMERICA SECURITIES, INC.
April 9, 2010 - July 24, 2012
AMERITAS INVESTMENT COMPANY, LLC
December 14, 2005 - March 17, 2010
SIGNATOR INVESTORS, INC.
May 20, 2004 - December 9, 2005
NEW ENGLAND SECURITIES
April 30, 2004 - December 9, 2005
NEW ENGLAND SECURITIES
July 30, 2002 - May 4, 2004
HORNOR, TOWNSEND & KENT, LLC
January 9, 2002 - May 4, 2004
HORNOR, TOWNSEND & KENT, LLC
May 5, 2000 - January 17, 2002
1717 CAPITAL MANAGEMENT COMPANY
December 2, 1993 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
November 9, 1993 - May 10, 2000
EQUITABLE ADVISORS, 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
Exams
Current Firm
THE INVESTMENT CENTER, INC.
CRD#: 17839 / SEC#: , 8-35826
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 5 |
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.
