NL
Nicholas Y. Lim
T. ROWE PRICE ASSOCIATES
BALTIMORE, MD 21231
Some features on this profile are disabled
CRD#: 7384991
NL
Professional summary
Nicholas Y Lim, who also goes by Nicholas Yoonjae Lim, Nicholas Lim, is a registered financial advisor currently at T. ROWE PRICE ASSOCIATES, INC. located in Baltimore, Maryland and T. ROWE PRICE INVESTMENT SERVICES, INC. located in Baltimore, Maryland.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Nicholas has worked at 4 firms and has passed the Series 63, Series 65, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicholas Yoonjae Lim | Nicholas 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.
Scale AI; Non-Investment Related; 10/2025; https://scale.com/; AI Consultant; Train AI models by rating the quality, accuracy, and safety of the AI's solutions; Scale AI develops reliable AI systems for models that are used by companies and government organizations. AI consultants provide real-world experience to train the AI models to ensure that the responses that are given by the AI are accurate; Hanover, MD; 10 hours per month; 0 during trading
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Y 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®
NoneExperience
Current
September 28, 2023 - Present
T. ROWE PRICE ASSOCIATES, INC.
Office #1: 1307 Point Street, Baltimore, MD 21231RIA
CRD#: 105496
BALTIMORE, MD
Current
September 12, 2023 - Present
T. ROWE PRICE INVESTMENT SERVICES, INC.
Office #1: 1307 Point Street, Baltimore, MD 21231BD
CRD#: 8348
BALTIMORE, MD
Past
October 11, 2021 - January 7, 2022
TRINITY WEALTH SECURITIES, L.L.C.
BD
CRD#: 104348
Miami, FL
Past
June 11, 2021 - January 7, 2022
FLORIDA FINANCIAL ADVISORS, LLC
RIA
CRD#: 288811
Miami, FL
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".
TR
T. ROWE PRICE ASSOCIATES, INC.
T. ROWE PRICE ASSOCIATES, INC.
CRD#: 105496 / SEC#: 801-856
RIA
Registered Investment Advisory firm - (3/29/1947 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
Alabama(12/4/2023)
RR
Alaska(12/4/2023)
RR
Arizona(12/4/2023)
RR
Arkansas(12/4/2023)
RR
California(10/20/2023)
RR
Colorado(12/4/2023)
RR
Connecticut(12/4/2023)
RR
Delaware(12/4/2023)
RR
District of Columbia(12/4/2023)
RR
Florida(12/4/2023)
RR
Georgia(12/4/2023)
RR
Hawaii(12/4/2023)
RR
Idaho(12/4/2023)
RR
Illinois(12/4/2023)
RR
Indiana(12/4/2023)
RR
Iowa(12/4/2023)
RR
Kansas(12/4/2023)
RR
Kentucky(12/4/2023)
RR
Louisiana(12/4/2023)
RR
Maine(12/4/2023)
RR
Maryland(9/12/2023)
IAR
Maryland(9/28/2023)
RR
Massachusetts(12/4/2023)
RR
Michigan(12/4/2023)
RR
Minnesota(12/4/2023)
RR
Mississippi(12/4/2023)
RR
Missouri(12/4/2023)
RR
Montana(12/4/2023)
RR
Nebraska(12/4/2023)
RR
Nevada(12/4/2023)
RR
New Hampshire(12/4/2023)
RR
New Jersey(12/4/2023)
RR
New Mexico(12/4/2023)
RR
New York(12/4/2023)
RR
North Carolina(12/4/2023)
RR
North Dakota(12/4/2023)
RR
Ohio(12/4/2023)
RR
Oklahoma(12/4/2023)
RR
Oregon(12/4/2023)
RR
Pennsylvania(12/4/2023)
RR
Puerto Rico(12/4/2023)
RR
Rhode Island(12/4/2023)
RR
South Carolina(12/4/2023)
RR
South Dakota(12/4/2023)
RR
Tennessee(12/4/2023)
RR
Texas(12/4/2023)
RR
Utah(12/4/2023)
RR
Vermont(12/4/2023)
RR
Virgin Islands(12/4/2023)
RR
Virginia(12/4/2023)
RR
Washington(12/4/2023)
RR
West Virginia(12/4/2023)
RR
Wisconsin(12/4/2023)
RR
Wyoming(12/4/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/27/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 10/11/2021
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TR
T. ROWE PRICE ASSOCIATES, INC.
T. ROWE PRICE ASSOCIATES, INC.
CRD#: 105496 / SEC#: 801-856
RIA
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Contact information
Main Address
1307 Point Street, Baltimore, MD 21231
Mailing Address
Phone number
(410) 345-2000
Established
Firm type
Fiscal year end
# of Employees
3,947
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,924 |
| AUM (Assets Under Management) | $ 1,934,233,243,730 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 01/27/2025 | ||
| 10/27/2023 | ||
| 01/27/2023 |
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.
