Amy 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.
Amy Lim was a registered financial professional .
Amy is a previously registered financial professional and started their career in finance in 2000. Amy had worked at 6 firms and has passed the Series 63, Series 22TO, Series 7TO, Series 57TO, SIE, Series 55 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
October 31, 2023 - December 12, 2025
ANALYST HUB SECURITIES, LLC
December 22, 2015 - April 17, 2020
EVERCORE GROUP L.L.C.
January 13, 2009 - December 31, 2015
INTERNATIONAL STRATEGY & INVESTMENT GROUP LLC
January 22, 2008 - November 19, 2008
UOB KAY HIAN (U.S.) INC.
April 28, 2000 - December 14, 2007
A. G. EDWARDS & SONS, INC.
April 6, 2000 - May 15, 2000
KEYBANC CAPITAL MARKETS 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
Exams
Series 22TO
Date: 10/31/2023
Direct Participation Programs Representative ExaminationSeries 7TO
Date: 7/5/2022
General Securities Representative ExaminationSeries 57TO
Date: 7/5/2022
Securities Trader ExamSeries 55
Date: 6/12/2000
Limited Representative-Equity Trader ExamCurrent Firm
ANALYST HUB SECURITIES, LLC
CRD#: 297665 / SEC#: , 8-70144
Contact information
FINRA licenses (2 States and Territories)
Documents
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.
