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CL

Chan H. Lim

Some features on this profile are disabled
CRD#: 2767255
CL

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.

Chan Hyun Lim, AIF®, who also goes by Chan Lim, was a registered financial professional .

Chan is a previously registered financial professional and started their career in finance in 1996. Chan had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 34, Series 3, Series 7, Series 52, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chan 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®
AIF®

Accredited Investment Fiduciary

Experience

Past

June 20, 2024 - March 25, 2026

CENTRIC WEALTH MANAGEMENT, LLC

RIA
CRD#: 133877
CHICAGO, IL
Past

September 12, 2018 - June 20, 2024

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
NORTHBROOK, IL
Past

July 16, 2018 - June 20, 2024

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
NORTHBROOK, IL
Past

August 8, 2016 - July 20, 2018

TD AMERITRADE, INC.

BD
CRD#: 7870
CHICAGO, IL
Past

July 8, 2015 - August 18, 2016

E*TRADE SECURITIES LLC

BD
CRD#: 29106
CHICAGO, IL
Past

December 10, 2013 - March 11, 2015

X-CHANGE FINANCIAL ACCESS, LLC

BD
CRD#: 126201
CHICAGO, IL
Past

August 26, 1996 - August 21, 1997

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI

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".
CW
CENTRIC WEALTH MANAGEMENT, LLC
CENTRIC WEALTH MANAGEMENT, LLC | PRESERVATION CAPITAL PARTNERS, LTD. | FGMK/PRESERVATON CAPITAL PARTNERS, LLC | FGMK/PRESERVATION CAPITAL PARTNERS, LLC | FGMK PRESERVATION CAPITAL PARTNERS, LLC | FARO ADVISORY

CRD#: 133877 / SEC#: 801-63837

RIA
Registered Investment Advisory firm - (2/7/2005 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
RR
IAR
Series 66
Date: 9/11/2018
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/22/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 34
Date: 12/7/2016
Retail Off-Exchange FOREX Examination
General Industry/Product Exam
RR
Series 3
Date: 3/11/2014
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 12/9/2013
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 8/23/1996
Municipal Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 11/3/2014
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/20/2014
General Securities Principal Examination

Current Firm

CW
CENTRIC WEALTH MANAGEMENT, LLC
CENTRIC WEALTH MANAGEMENT, LLC | PRESERVATION CAPITAL PARTNERS, LTD. | FGMK/PRESERVATON CAPITAL PARTNERS, LLC | FGMK/PRESERVATION CAPITAL PARTNERS, LLC | FGMK PRESERVATION CAPITAL PARTNERS, LLC | FARO ADVISORY

CRD#: 133877 / SEC#: 801-63837

RIA
Registered Investment Advisory firm - (2/7/2005 Approved)
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Contact information

Main Address
333 W. Wacker Drive 6th Floor, Chicago, IL 60606
Mailing Address
Phone number
(312) 429-6100
Established
Firm type
Fiscal year end
# of Employees
15

SEC notice filing (13 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

CENTRIC WEALTH MANAGEMENT, LLC (2/25/2026)

Regulatory assets under management

Total Number of Accounts1,590
AUM (Assets Under Management)$ 792,857,735

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
02/24/2026
Cover Page
Report
11/18/2024
Cover Page
Report
02/07/2024
Cover Page
Report
03/09/2023
Cover Page
Report

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

CENTRIC WEALTH MANAGEMENT, LLC

CRD#: 133877

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