AL
Alex H. Lim
UBS SECURITIES LLC
San Francisco, CA 94104
Some features on this profile are disabled
CRD#: 3249058
AL
Professional summary
Alex Ho Young Lim, who also goes by Alexander Ho Young Lim, Alex Lim, is a registered financial professional currently at UBS SECURITIES LLC located in San Francisco, California.
Alex is registered as a RR (Registered Representative) and started their career in finance in 2003. Alex has worked at 5 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Alexander Ho Young Lim | Alex 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.
CRS (Client Relationship Summary) - BD
Click below to view Alex Ho Young Lim's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 20, 2025 - Present
UBS SECURITIES LLC
Office #1: 555 California Street 36th Floor, San Francisco, CA 94104BD
CRD#: 7654
San Francisco, CA
Past
August 17, 2021 - June 24, 2025
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
SAN FRANCISCO, CA
Past
April 3, 2017 - September 7, 2021
MIZUHO SECURITIES USA LLC
BD
CRD#: 19647
SAN FRANCISCO, CA
Past
June 10, 2014 - April 4, 2017
OPPENHEIMER & CO. INC.
BD
CRD#: 249
SAN FRANCISCO, CA
Past
December 10, 2003 - June 5, 2014
LAZARD FRERES & CO. LLC
BD
CRD#: 2528
SAN FRANCISCO, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/20/2025)
RR
Alaska(6/20/2025)
RR
Arizona(6/20/2025)
RR
Arkansas(6/20/2025)
RR
California(6/20/2025)
RR
Colorado(6/20/2025)
RR
Connecticut(6/20/2025)
RR
Delaware(6/20/2025)
RR
District of Columbia(6/20/2025)
RR
Florida(6/20/2025)
RR
Georgia(6/20/2025)
RR
Hawaii(6/20/2025)
RR
Idaho(6/20/2025)
RR
Illinois(6/20/2025)
RR
Indiana(6/20/2025)
RR
Iowa(6/20/2025)
RR
Kansas(6/20/2025)
RR
Kentucky(6/20/2025)
RR
Louisiana(6/20/2025)
RR
Maine(6/20/2025)
RR
Maryland(6/20/2025)
RR
Massachusetts(6/20/2025)
RR
Michigan(6/20/2025)
RR
Minnesota(6/20/2025)
RR
Mississippi(6/20/2025)
RR
Missouri(6/20/2025)
RR
Montana(6/20/2025)
RR
Nebraska(6/20/2025)
RR
Nevada(6/20/2025)
RR
New Hampshire(6/20/2025)
RR
New Jersey(6/20/2025)
RR
New Mexico(6/20/2025)
RR
New York(6/20/2025)
RR
North Carolina(6/20/2025)
RR
North Dakota(6/20/2025)
RR
Ohio(6/20/2025)
RR
Oklahoma(6/20/2025)
RR
Oregon(6/20/2025)
RR
Pennsylvania(6/20/2025)
RR
Puerto Rico(6/20/2025)
RR
Rhode Island(6/20/2025)
RR
South Carolina(6/20/2025)
RR
South Dakota(6/20/2025)
RR
Tennessee(6/20/2025)
RR
Texas(6/20/2025)
RR
Utah(6/20/2025)
RR
Vermont(6/20/2025)
RR
Virginia(6/20/2025)
RR
Washington(6/20/2025)
RR
West Virginia(6/20/2025)
RR
Wisconsin(6/20/2025)
RR
Wyoming(6/20/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
US
UBS SECURITIES LLC
BRUNSWICK UBS WARBURG | WARBURG DILLON READ LLC | UBS WARBURG LLC | UBS SECURITIES LLC | UBS SECURITIES INC. | UBS INVESTMENT BANK
CRD#: 7654 / SEC#: 801-67178, 8-22651
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
11 Madison Avenue, New York, NY 10010
Mailing Address
1000 Harbor Boulevard, Weehawken, NJ 07086
Phone number
(201) 352-3000
Established
Delaware since 06/29/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC | MEMBER, VOTING | |
| CASAVECHIA, RICHARD MICHAEL | MANAGING DIRECTOR, SENIOR MANAGER INVESTMENT BANKING | 4732235 |
| DIMARCO, PATRICK M | CHIEF COMPLIANCE OFFICER | 4549136 |
| EBERT, MICHAEL J | PRESIDENT AND CHAIR OF THE BOARD | 4556059 |
| HAZELWOOD, TRICIA | MANAGING DIRECTOR, SENIOR MANAGER TRADING & SALES | 4232035 |
| LOFTUS, MICHAEL L | MANAGING ATTORNEY, INVESTMENT BANKING & CAPITAL MARKETS | 4176467 |
| MATTONE, RALPH MICHAEL | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| NIETO, CALLUM | PRINCIPAL OPERATIONS OFFICER | 6765482 |
| VAN TASSEL, JAMES C | MANAGING DIRECTOR, US EQUITIES RESEARCH | 2558212 |
Disclosures
| Regulatory Event | 308 |
| Civil Event | 4 |
| Arbitration | 3 |
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.
