Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Hooi ling? Claim Your ProfileHooi ling Lim is an investment advisor representative with Rockefeller Financial LLC. Hooi ling Lim has been in the industry since January 2000. Hooi ling Lim is registered with the state of California and Texas as an investment advisor representative. Hooi ling Lim's previous firms include Morgan Stanley and First Republic Securities Company, LLC. Hooi ling Lim has passed Series 3, 7, 9, 10, 63, and 65 exams.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
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.
1
2
CA
05/11/2022 - Present
Rockefeller Financial LLC (San Francisco CA)
CA
06/01/2009 - 05/13/2022
MORGAN STANLEY (LOS GATOS CA)
CA
04/18/2022 - 04/26/2022
FIRST REPUBLIC SECURITIES COMPANY, LLC (Palo Alto CA)
CA
01/20/2000 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (PALO ALTO CA)
IA
Issued 12/14/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/30/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/01/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/22/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/24/2011
Series 3 - National Commodity Futures Examination
BC
Issued 01/19/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Hooi ling Lim is the right advisor for you? Invested Better is here to help.
