Jung D. 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.
Jung Do Lim, who also goes by Jungdo James Lim, was a registered financial professional .
Jung is a previously registered financial professional and started their career in finance in 2001. Jung had worked at 4 firms and has passed the Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2013 - May 20, 2014
WTS PROPRIETARY TRADING GROUP LLC
February 2, 2012 - December 10, 2012
WTS PROPRIETARY TRADING GROUP LLC
January 8, 2010 - February 16, 2010
MADISON PROPRIETARY TRADING GROUP, LLC
March 19, 2009 - December 16, 2009
FIS BROKERAGE & SECURITIES SERVICES LLC
September 10, 2003 - December 6, 2006
FIS BROKERAGE & SECURITIES SERVICES LLC
April 25, 2001 - February 21, 2002
WORLDCO, L.L.C.
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 55
Date: 6/27/2001
Limited Representative-Equity Trader ExamCurrent Firm
WTS PROPRIETARY TRADING GROUP LLC
CRD#: 148117 / SEC#: , 8-67986
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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