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Charles N. Lim

STANCORP INVESTMENT ADVISERS

Duarte, CA

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CRD#: 5039063

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 Duarte, 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, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charles Lim | Hong Chul Lim

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Nmn Lim's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 2, 2021 - Present

STANCORP INVESTMENT ADVISERS, INC.

RIA

CRD#: 110228

Duarte, CA

Current

June 6, 2021 - Present

STANCORP EQUITIES, INC.

Office #1: 1100 Sw Sixth Avenue, Portland, OR 97204-1093

BD

CRD#: 19517

Portland, OR

Past

May 17, 2019 - April 1, 2021

MIRAE ASSET WEALTH MANAGEMENT (USA) INC.

RIA

CRD#: 147991

LOS ANGELES, CA

Past

May 17, 2019 - April 1, 2021

MIRAE ASSET WEALTH MANAGEMENT (USA) INC.

BD

CRD#: 147991

LOS ANGELES, CA

Past

April 2, 2019 - May 13, 2019

INTREPID INVESTMENT BANKERS LLC

BD

CRD#: 154801

GLENDALE, CA

Past

January 24, 2017 - May 13, 2019

U.S. BANCORP ADVISORS, LLC

RIA

CRD#: 14455

GLENDALE, CA

Past

January 24, 2017 - May 13, 2019

U.S. BANCORP ADVISORS, LLC

BD

CRD#: 14455

GLENDALE, CA

Past

March 1, 2016 - January 12, 2017

SUMMIT BROKERAGE SERVICES, INC.

BD

CRD#: 34643

San Diego, CA

Past

June 19, 2015 - November 29, 2016

VSR FINANCIAL SERVICES, INC.

BD

CRD#: 14503

San Diego, CA

Past

June 19, 2015 - January 12, 2017

GIRARD SECURITIES, INC.

BD

CRD#: 18697

SAN DIEGO, CA

Past

June 19, 2015 - January 12, 2017

CETERA INVESTMENT SERVICES LLC

BD

CRD#: 15340

SAN DIEGO, CA

Past

June 19, 2015 - January 12, 2017

CETERA FINANCIAL SPECIALISTS LLC

BD

CRD#: 10358

SAN DIEGO, CA

Past

June 19, 2015 - January 12, 2017

CETERA ADVISORS LLC

BD

CRD#: 10299

SAN DIEGO, CA

Past

June 19, 2015 - January 12, 2017

CETERA WEALTH SERVICES, LLC

BD

CRD#: 13572

SAN DIEGO, CA

Past

June 25, 2012 - January 12, 2017

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

SAN DIEGO, CA

Past

August 25, 2009 - January 12, 2017

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

SAN DIEGO, CA

Past

August 24, 2009 - January 12, 2017

FIRST ALLIED SECURITIES, INC.

BD

CRD#: 32444

SAN DIEGO, CA

Past

September 29, 2008 - August 25, 2009

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN DIEGO, CA

Past

December 7, 2007 - August 25, 2009

LPL FINANCIAL LLC

BD

CRD#: 6413

SAN DIEGO, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SI

STANCORP INVESTMENT ADVISERS, INC.

STANCORP INVESTMENT ADVISERS, INC. | THE STANDARD

CRD#: 110228 / SEC#: 801-57811

RIA

Registered Investment Advisory firm - (7/31/2000 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR

California
(6/11/2024)

IAR

California
(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

State Security Law Exam

RR

IAR

Series 66

Date: 9/27/2008

Uniform Combined State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 12/5/2007

General Securities Representative Examination

Principal/Supervisory Exam

RR

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

RR

Series 24

Date: 1/31/2013

General Securities Principal Examination

Principal/Supervisory Exam

RR

Series 10

Date: 9/4/2010

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

RR

Series 9

Date: 7/31/2010

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

RR

FINRA

Current Firm

SI

STANCORP INVESTMENT ADVISERS, INC.

STANCORP INVESTMENT ADVISERS, INC. | THE STANDARD

CRD#: 110228 / SEC#: 801-57811

RIA

Registered Investment Advisory firm - (7/31/2000 Approved)

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Contact information

Main Address

1100 Sw Sixth Avenue, Portland, OR 97204

Mailing Address

900 Sw Fifth Avenue C22, Portland, OR 97204

Phone number

(800) 858-5420

Established

Firm type

Fiscal year end

# of Employees

82

SEC notice filing (51 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

SIA FORM ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	103,728
AUM (Assets Under Management)	$ 33,592,166,292

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
04/29/2025	Cover Page	Report
03/28/2024	Cover Page	Report
01/27/2023	Cover Page	Report

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.

Company Information

STANCORP INVESTMENT ADVISERS, INC.

CRD#: 110228Duarte, CA

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