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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Lim is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. David Lim has been in the industry for over 10 years. David Lim is registered with both the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) and holds a Series 7, Series 66, and SIE. David Lim is also registered in over 50 states, including both broker-dealer and investment advisor registrations. David Lim's current location is in the San Francisco branch office of Merrill Lynch. David Lim has been an advisor with Merrill Lynch since 2021 and was formerly registered with CITI PRIVATE ADVISORY, LLC and CITIGROUP GLOBAL MARKETS INC.
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.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
06/29/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN FRANCISCO CA)
CA
08/05/2017 - 04/29/2021
CITI PRIVATE ADVISORY, LLC (Palo Alto CA)
CA
03/08/2017 - 04/29/2021
CITIGROUP GLOBAL MARKETS INC. (PALO ALTO CA)
CA
06/23/2015 - 03/08/2017
FIRST REPUBLIC SECURITIES COMPANY, LLC (PALO ALTO CA)
CA
06/03/2013 - 06/25/2015
CITIGROUP GLOBAL MARKETS INC. (SAN FRANCISCO CA)
BOTH
Issued 8/24/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 6/1/2013
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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