Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kin? Claim Your ProfileKin Lim is a financial professional with over 20 years of experience in the securities industry. Lim is currently registered with Wedbush Securities Inc. Kin Lim's previous roles include positions at Cantor Fitzgerald & Co., Cowen Execution Services LLC, J.P. Morgan Clearing Corp., J.P. Morgan Securities LLC, Apex Clearing Corporation, Penson Financial Services, Inc., Ridge Clearing & Outsourcing Solutions, Inc., UBS Services USA LLC, and UBS Financial Services Inc.. Lim holds a variety of licenses and certifications, including Series 7, 27, 55, 63, and SIE. Kin Lim is also a Registered Options Principal.
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.
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.
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.
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2
NJ
06/08/2021 - Present
Wedbush Securities Inc. (JERSEY CITY NJ)
NY
01/04/2018 - 07/30/2020
CANTOR FITZGERALD & CO. (NEW YORK NY)
NY
05/12/2015 - 07/26/2017
COWEN EXECUTION SERVICES LLC (NEW YORK NY)
NY
10/22/2012 - 05/13/2015
J.P. MORGAN CLEARING CORP. (NEW YORK NY)
NY
04/07/2014 - 04/18/2014
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
TX
06/21/2012 - 10/11/2012
APEX CLEARING CORPORATION (DALLAS TX)
TX
07/02/2010 - 08/01/2012
PENSON FINANCIAL SERVICES, INC. (DALLAS TX)
NJ
05/30/2007 - 07/01/2010
RIDGE CLEARING & OUTSOURCING SOLUTIONS, INC. (JERSEY CITY NJ)
NJ
05/04/2007 - 06/04/2007
UBS SERVICES USA LLC (WEEHAWKEN NJ)
NJ
01/29/2007 - 05/09/2007
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
RI
11/04/1998 - 01/31/2007
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
BC
Issued 11/19/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/14/2005
Series 27 - Financial and Operations Principal Examination
BC
Issued 06/23/2000
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/27/2001
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/03/1998
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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