Su-min Lim
Professional summary
Su-min Lim, who also goes by Sumin Lim, is a registered financial professional currently at PPHB SECURITIES LP located in Houston, Texas.
Su-min is registered as a RR (Registered Representative) and started their career in finance in 2001. Su-min has worked at 4 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Su-min Lim's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 10, 2016 - Present
PPHB SECURITIES LP
Office #1: 1885 St. James Place Suite 900, Houston, TX 77056June 6, 2012 - December 10, 2013
GCP SECURITIES, LLC
August 12, 2011 - September 3, 2014
KROLL SECURITIES LLC
May 24, 2001 - June 6, 2012
GCP SECURITIES, 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
(8/10/2016)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
PPHB SECURITIES LP
CRD#: 132074 / SEC#: , 8-66550
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROWN, RAYMOND LLOYD JR. | LIMITED PARTNER/REGISTERED PRINCIPAL | 4144874 |
| BUCHANAN, JOE BLAKE | LIMITED PARTNER/REGISTERED PRINCIPAL | 5095659 |
| HOEPFL, JOSEPH ALLEN | CHIEF COMPLIANCE OFFICER/LIMITED PARTNER/REGISTERED PRINCIPAL | 2950986 |
| PARKS PATON HOEPFL & BROWN, LLC | GENERAL PARTNER | |
| SCHAPS, MICHAEL ROBERT | FINOP/CFO/PFO/POO | 1892138 |
Red Flags
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