Charles Nmn Lim
Professional Summary
Charles Nmn Lim, who also goes by Charles Lim, Hong Chul Lim, is a registered financial advisor currently at STANCORP INVESTMENT ADVISERS, INC. located in Arcadia, California and STANCORP EQUITIES, INC. located in Portland, Oregon. Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Charles has worked at 15 firms and has passed the Series 66, SIE, Series 7, Series 14, Series 24,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Charles Lim, Hong Chul Lim
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
18 years in the financial services industry
Current & Past Employments
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Current Firm
STANCORP INVESTMENT ADVISERS, INC. | THE STANDARD
Contact Information
Main Address
1100 Sw Sixth Avenue, Portland, OR 97204Mailing Address
900 Sw Fifth Avenue, Portland, OR 97204Phone Number
(800) 858-5420# of Employees
81SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Regulatory Assets Under Management
Total Number of Accounts
96,128AUM (Assets Under Management)
$34,500,914,826Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/27/2026 | Cover Page | Report |
| 04/29/2025 | Cover Page | Report |
| 03/28/2024 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
STANCORP INVESTMENT ADVISERS, INC. | THE STANDARD
State Registrations and Notice Filings
(6/11/2024)
(12/20/2024)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Sep 2010About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jul 2010About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Charles Nmn Lim's CRS (Customer Relationship Summary).
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