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RL

Ryan Pang Wei Lim

SAMUEL A. RAMIREZ & COMPANY
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 7691176
RL

Professional summary

Ryan Pang Wei Lim, who also goes by Ryanpangwei Lim, Ryan Lim, is a registered financial professional currently at SAMUEL A. RAMIREZ & COMPANY, INC. located in New York, New York.

Ryan Pang Wei is registered as a RR (Registered Representative) and started their career in finance in 2023. Ryan Pang Wei has worked at 2 firms and has passed the Series 63, Series 65, Series 79TO, Series 52TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ryanpangwei Lim | Ryan 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) - BD

Click below to view Ryan Pang Wei Lim's CRS (Customer Relationship Summary).
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

March 6, 2024 - Present

SAMUEL A. RAMIREZ & COMPANY, INC.

Office #1: 14 East 52nd Street, New York, NY 10022
BD
CRD#: 6963
NEW YORK, NY
Past

March 20, 2023 - March 7, 2024

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

State Registrations and Notice Filings

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

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
(12/5/2024)
RR
Connecticut
(12/5/2024)
RR
Louisiana
(12/5/2024)
RR
Michigan
(12/5/2024)
RR
New Jersey
(12/5/2024)
RR
New York
(3/6/2024)
RR
Ohio
(12/5/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 2/25/2023
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/17/2020
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 4/17/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 52TO
Date: 3/18/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/25/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

SA
SAMUEL A. RAMIREZ & COMPANY, INC.
RAMIREZ | SAMUEL A. RAMIREZ & COMPANY, INC. | SAMUEL A. RAMIREZ & CO., INC. | SAMUEL A RAMIREZ & CO., INC. | RAMIREZ & CO., INC. | RAMIREZ & CO., INC

CRD#: 6963 / SEC#: , 8-19014

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
14 East 52nd Street, New York, NY 10022
Mailing Address
14 East 52nd Street, New York, NY 10022
Phone number
(212) 248-0500
Established
New York since 12/31/1971
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SAR HOLDINGS, INC.HOLDING COMPANY
GOLDMAN, LAWRENCE FMANAGING DIRECTOR1134640
KICK, MICHAEL JSR. VP/ CFO/ FIN OP4480676
KOFFER, JOSEPHCHIEF COMPLIANCE OFFICER6043686
MAZZARO, VINCENT ANTHONYCOO2665339
PERROTTA, THOMASMANAGING DIRECTOR1864851
RAMIREZ, SAMUEL ALFREDPRESIDENT & DIRECTOR/SECRETARY827095
RAMIREZ,, SAMUEL ALFRED JRMANAGING DIRECTOR2261054

Disclosures

Regulatory Event6
Arbitration2

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

SAMUEL A. RAMIREZ & COMPANY, INC.

CRD#: 6963New York, NY 10022

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