David Lim
Professional summary
David Lim is a registered financial professional currently at MUTUAL OF AMERICA SECURITIES LLC located in Kirkland, Washington.
David is registered as a RR (Registered Representative) and started their career in finance in 2005. David has worked at 5 firms and has passed the Series 66, Series 99TO, SIE, Series 31, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Lim's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 13, 2007 - Present
MUTUAL OF AMERICA SECURITIES LLC
Office #1: 10230 Ne Points Drive Suite 550, Kirkland, WA 98033March 13, 2007 - October 15, 2020
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
October 4, 2006 - March 8, 2007
VALIC FINANCIAL ADVISORS, INC.
October 4, 2006 - March 8, 2007
VALIC FINANCIAL ADVISORS, INC.
April 12, 2006 - May 26, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 12, 2006 - May 26, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 16, 2005 - February 1, 2006
MORGAN STANLEY DW INC.
July 1, 2005 - February 1, 2006
MORGAN STANLEY DW 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
(10/15/2010)
(1/31/2025)
(10/15/2010)
(10/15/2010)
(10/15/2010)
(1/31/2025)
(10/15/2010)
(1/31/2025)
Exams
Series 99TO
Date: 8/28/2024
Operations Professional ExaminationFINRA
Current Firm
MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878 / SEC#: , 8-43278
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL OF AMERICA HOLDING COMPANY LLC | MEMBER | |
| BAILEY, CHRISTOPHER DAVID | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4582524 |
| BRANT, DAVID ROBERT | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO) | 2718478 |
| GREGORY, IVAN BRUCE | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 4984456 |
| JOHNSON, TROY SHERMAN | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 3052097 |
| MEDLIN, KYLE LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5496979 |
| STEINGARTEN, BRIE ANNE ELIZABETH | GENERAL COUNSEL AND SECRETARY | 5373977 |
Red Flags
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