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CL

Chris J. Lim

Some features on this profile are disabled
CRD#: 847160
CL

Professional summary

Chris Joseph Lim was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Chris is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Chris had worked at 4 firms, which includes EASTLAKE CAPITAL L.L.C., WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, WINGSPAN INVESTMENT SERVICES, CHARLES SCHWAB & CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chris J 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 17, 1999 - July 3, 2003

EASTLAKE CAPITAL, L.L.C.

BD
CRD#: 45544
CHICAGO, IL
Past

May 26, 1995 - June 10, 1999

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

August 12, 1986 - May 30, 1995

WINGSPAN INVESTMENT SERVICES

BD
CRD#: 17516
CHICAGO, IL
Past

April 20, 1982 - July 23, 1986

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/12/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 15
Date: 2/5/1985
Foreign Currency Options Examination
General Industry/Product Exam
RR
Series 7
Date: 5/15/1982
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 2/25/1999
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 10/16/1987
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/22/1986
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/19/1983
Registered Options Principal Examination

Current Firm

EC
EASTLAKE CAPITAL, L.L.C.
EASTLAKE CAPITAL, L.L.C. | NILE PARTNERS, LTD.

CRD#: 45544 / SEC#: , 8-51085

BD
Terminated by SEC on 07/04/2003
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Contact information

Main Address
Mailing Address
Phone number
Established
Illinois since 07/15/1998
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LIM, CHRIS JOSEPHPRESIDENT/CEO847160
HODESS, JOSHUA DAVIDREGISTERED PRINCIPAL2531918

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

EASTLAKE CAPITAL, L.L.C.

CRD#: 45544

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