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David Lim

Merrill Lynch, Pierce, Fenner & Smith Incorporated

San Francisco, CA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-06-29
CA RA APPROVED 2021-06-23
  • TX RA
    APPROVED_RES
    Since 2021-06-29
  • CA RA
    APPROVED
    Since 2021-06-23

Branch Locations

555 California St Pbig - San Francisco, San Francisco, CA 94104 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
First Republic Securities Company, Llc Palo Alto CA 06/2015 03/2017
Citigroup Palo Alto CA 03/2017 04/2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Francisco CA 04/2021 Present
Bank Of America, N.A. San Francisco CA 06/2021 Present
  • 06/2015 → 03/2017
    First Republic Securities Company, Llc
    Palo Alto, CA
  • 03/2017 → 04/2021
    Citigroup
    Palo Alto, CA
  • 04/2021 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    San Francisco, CA
  • 06/2021 → Present
    Bank Of America, N.A.
    San Francisco, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-08-24
  • S66 Uniform Combined State Law Examination
    2013-08-24

View on SEC IAPD

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Other Offices

FORT POINT CAPITAL PARTNERS LLC · SAN FRANCISCO, CA
DIVISAR CAPITAL MANAGEMENT, LLC · SAN FRANCISCO, CA
CHARLES SCHWAB & CO., INC. · San Francisco, CA
1SHARPE CAPITAL LLC · SAN FRANCISCO, CA
RBC SECURITIES, INC · SAN FRANCISCO, CA
STRATEGIC ADVISERS LLC · SAN FRANCISCO, CA
VALEAS CAPITAL PARTNERS · SAN FRANCISCO, CA
ZENTARA EXCHANGE LTD · SAN FRANCISCO, CA

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