Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Judy? Claim Your ProfileJudy Lim is a financial professional with over 25 years of experience in the industry. Judy is currently registered with Fidelity Brokerage Services LLC. Previously, Judy was registered with J.P. Morgan Securities LLC, Colonial Securities, Inc., HG Asia Inc. and Smith Barney Inc. Judy holds a Series 7, Series 24, Series 28, Series 4, Series 55, Series 63, Series 57TO, Series 79TO and Series 99TO license.
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.
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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2
NH
10/15/2021 - Present
Fidelity Brokerage Services LLC (MERRIMACK NH)
NY
09/16/2019 - 07/15/2021
J.P. MORGAN SECURITIES LLC (BROOKLYN NY)
NY
06/17/1997 - 09/25/2017
COLONIAL SECURITIES, INC. (NEW YORK NY)
NY
03/15/1995 - 01/23/1997
HG ASIA INC. (NEW YORK NY)
NY
07/26/1994 - 03/23/1995
SMITH BARNEY INC. (NEW YORK NY)
BC
Issued 08/29/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/18/1997
Series 24 - General Securities Principal Examination
BC
Issued 05/28/1997
Series 28 - Introducing Broker/Dealer Financial Operations Principal Examination
BC
Issued 05/09/1997
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 09/25/2017
SIE - Securities Industry Essentials Examination
BC
Issued 05/10/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 07/16/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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