Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Lim is a registered representative with Cantor Fitzgerald & Co. Richard has been in the financial services industry since December 2009. Richard holds the Series 7, Series 57, Series 63 and SIE licenses. Richard is registered in 9 states, including California, Connecticut, New Jersey, New York, Oregon, Puerto Rico, Texas, Washington, and Wyoming.
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.
1
2
NJ
12/15/2009 - Present
Cantor Fitzgerald & Co. (SHREWSBURY NJ)
BC
Issued 01/26/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/24/2017
Series 57 - Securities Trader Exam
BC
Issued 12/14/2009
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
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