Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Lim is a financial advisor with LPL Financial LLC. Stephen is based in Chico, CA and has been a financial advisor for over 36 years. Stephen has a wide range of experience in the financial services industry, and is registered with the Financial Industry Regulatory Authority (FINRA) as a registered representative and investment advisor representative. Stephen is also registered with the State of California as an investment advisor. Stephen is committed to providing his clients with personalized financial advice and guidance.
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.
Consulting and other non-discretionary advisory services
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
CA
07/17/2018 - Present
LPL Financial LLC (SACRAMENTO CA)
CA
01/26/2009 - 09/08/2009
ASSOCIATED SECURITIES CORP. (WALNUT CREEK CA)
CA
04/22/2001 - 02/06/2009
FSC SECURITIES CORPORATION (WALNUT CREEK CA)
CA
04/25/1996 - 04/17/2001
ROUND HILL SECURITIES, INC. (ALAMO CA)
NY
02/23/1988 - 04/19/1996
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NA
08/12/1986 - 03/09/1988
SHEARSON LEHMAN HUTTON INC.
NA
04/01/1986 - 08/11/1986
BIRR, WILSON SECURITIES, INC.
NA
10/26/1984 - 04/01/1986
BIRR, WILSON & CO., INC.
IA
Issued 09/05/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/07/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/30/1998
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/27/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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