Allison Catherine Lim
Professional Summary
Allison Catherine Lim, who also goes by Allison Lim, was a registered financial advisor. Allison was a previously registered financial professional and started their career in finance 2014 - 2017. Allison had worked at 2 firms and has passed the SIE and Series 79 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Allison Lim
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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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
12 years in the financial services industry
Current & Past Employments
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Current Firm
AIG EQUITY SALES CORP. | PINEBRIDGE SECURITIES LLC | AMERICAN INTERNATIONAL FUND DISTRIBUTORS, INC.
Contact Information
Main Address
65 East 55th Street Park Avenue Tower, New York, NY 10022Mailing Address
65 East 55th Street Park Avenue Tower, New York, NY 10022Phone Number
(646) 857-8132Established
Delaware since 10/01/2009Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (23 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PINEBRIDGE INVESTMENTS HOLDINGS US LLC | SOLE MEMBER | — |
| MORELLI, BRIAN R | CHIEF COMPLIANCE OFFICER | 7366072 |
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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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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Jul 2014About the Series 79 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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