Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Lim is an investment advisor representative with Stancorp Investment Advisers, Inc. Charles has been in the industry since February 19, 2008. Charles has worked for a number of firms in the past, including Mirae Asset Wealth Management (USA) Inc., Intrepid Investment Bankers LLC, UnionBanc Investment Services, LLC, Summit Brokerage Services, Inc., Cetera Advisor Networks LLC, Cetera Advisors LLC, Cetera Financial Specialists LLC, Cetera Investment Services LLC, Girard Securities, Inc., First Allied Securities, Inc., VSR Financial Services, Inc., and LPL Financial Corporation. Charles is a Series 66, Series 14, Series 24, Series 10, Series 9, SIE and Series 7 licensed professional.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
As noted in schedule d misc,affiliate by intercompany agreement
1
2
OR
12/20/2024 - Present
Stancorp Investment Advisers, Inc. (PORTLAND OR)
CA
05/17/2019 - 04/01/2021
MIRAE ASSET WEALTH MANAGEMENT (USA) INC. (LOS ANGELES CA)
CA
04/02/2019 - 05/13/2019
INTREPID INVESTMENT BANKERS LLC (GLENDALE CA)
CA
01/24/2017 - 05/13/2019
UNIONBANC INVESTMENT SERVICES, LLC (GLENDALE CA)
CA
03/01/2016 - 01/12/2017
SUMMIT BROKERAGE SERVICES, INC. (San Diego CA)
CA
06/19/2015 - 01/12/2017
CETERA ADVISOR NETWORKS LLC (SAN DIEGO CA)
CA
06/19/2015 - 01/12/2017
CETERA ADVISORS LLC (SAN DIEGO CA)
CA
06/19/2015 - 01/12/2017
CETERA FINANCIAL SPECIALISTS LLC (SAN DIEGO CA)
CA
06/19/2015 - 01/12/2017
CETERA INVESTMENT SERVICES LLC (SAN DIEGO CA)
CA
06/19/2015 - 01/12/2017
GIRARD SECURITIES, INC. (SAN DIEGO CA)
CA
08/24/2009 - 01/12/2017
FIRST ALLIED SECURITIES, INC. (SAN DIEGO CA)
CA
06/19/2015 - 11/29/2016
VSR FINANCIAL SERVICES, INC. (San Diego CA)
CA
12/07/2007 - 08/25/2009
LPL FINANCIAL CORPORATION (SAN DIEGO CA)
BOTH
Issued 09/27/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 01/31/2013
Series 24 - General Securities Principal Examination
BC
Issued 09/04/2010
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/31/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/05/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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