Adam R. Lim
Professional summary
Adam Richard Lim is a registered financial professional currently at PACIFIC SELECT DISTRIBUTORS, LLC located in Newport Beach, California.
Adam is registered as a RR (Registered Representative) and started their career in finance in 2000. Adam has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 27, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Adam Richard Lim's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 6, 2018 - Present
PACIFIC SELECT DISTRIBUTORS, LLC
Office #1: 700 Newport Center Drive, Newport Beach, CA 92660May 14, 2008 - May 15, 2018
CAPITAL CLIENT GROUP, INC.
January 31, 2003 - April 17, 2008
WAMU INVESTMENTS, INC.
November 10, 2000 - April 17, 2008
WAMU INVESTMENTS, 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
(6/6/2018)
Exams
FINRA
Current Firm
PACIFIC SELECT DISTRIBUTORS, LLC
CRD#: 4452 / SEC#: , 8-15264
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC LIFE INSURANCE COMPANY | PARENT OF APPLICANT | |
| DARE, BARBARA ALYCE | VICE PRESIDENT | 5074108 |
| KISSEL, GEOFFREY P | CHIEF EXECUTIVE OFFICER | 7499710 |
| LA ROQUE, SUZANNE MARIE | ASSISTANT VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 4222767 |
| SMITH, TREVOR TIMOTHY | VICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATING OFFICER | 4844953 |
| YAMAUCHI, STARLA CHIN | VICE PRESIDENT, CORPORATE SECRETARY | 7721024 |
Red Flags
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