Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Emmanuel Lim is a financial advisor with RBC Capital Markets, LLC. Richard has been in the financial services industry since 2005. Richard has a wide range of experience, having worked at firms such as Morgan Stanley, E*TRADE SECURITIES LLC, and Stifel, Nicolaus & Company, Incorporated. Richard is registered with the state of New Jersey. Richard has a broad base of experience and expertise, including investment advisory, financial planning, and portfolio management. Richard is committed to providing clients with personalized financial advice and services to help them reach their financial goals.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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
NJ
05/09/2023 - Present
RBC Capital Markets, LLC (Jersey City NJ)
NY
05/05/2020 - 05/30/2023
MORGAN STANLEY (PURCHASE NY)
NY
04/13/2016 - 05/05/2020
MORGAN STANLEY & CO. LLC (NEW YORK NY)
NJ
02/24/2015 - 04/22/2016
E*TRADE SECURITIES LLC (JERSEY CITY NJ)
NY
01/14/2015 - 02/27/2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED (NEW YORK NY)
NY
06/01/2009 - 01/23/2015
MORGAN STANLEY (PURCHASE NY)
NY
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (PURCHASE NY)
NJ
08/03/2005 - 04/02/2007
MORGAN STANLEY DW INC. (LAWRENCEVILLE NJ)
BOTH
Issued 08/23/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/28/2015
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/02/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 08/02/2005
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
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, 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 PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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