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David Lim

Mutual OF America Securities LLC

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About David Lim

David Lim is a financial advisor who has been in the industry since 2006. David is currently registered with Mutual of America Securities LLC and is licensed to provide financial advice in Alaska, Idaho, Montana, Oregon, and Washington. David has a wide range of experience in the financial services industry, having previously worked for VALIC Financial Advisors, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Morgan Stanley DW Inc. David has also passed several industry exams, including the Series 7, Series 26, Series 31, Series 99TO, and SIE.

Firm Information

David Lim is currently registered with Mutual OF America Securities LLC. Mutual OF America Securities LLC is a Limited Liability Company formed on June 29, 1990. The firm is registered in all 50 states and the District of Columbia, as well as with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

346

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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David Lim’s Registration & Firm History

WA

03/13/2007 - Present

Mutual OF America Securities LLC (Kirkland WA)

WA

03/13/2007 - 10/15/2020

MUTUAL OF AMERICA LIFE INSURANCE COMPANY (Kirkland WA)

CA

10/04/2006 - 03/08/2007

VALIC FINANCIAL ADVISORS, INC. (SAN DIEGO CA)

CA

04/12/2006 - 05/26/2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (RIVERSIDE CA)

NY

07/01/2005 - 02/01/2006

MORGAN STANLEY DW INC. (PURCHASE NY)

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Licenses & Designations

BOTH

Issued 08/15/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 05/16/2011

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 08/28/2024

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/21/2005

Series 31 - Futures Managed Funds Examination

BC

Issued 06/30/2005

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for David Lim.
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