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Sek Seng Lim

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Seattle, WA

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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 2020-09-29
WA RA APPROVED 2020-07-17
  • TX RA
    APPROVED
    Since 2020-09-29
  • WA RA
    APPROVED
    Since 2020-07-17

Branch Locations

4001 Sw Alaska St, Seattle, WA 98116 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Seattle WA 06/2017 Present
Bank Of America, N.A. Seattle WA 06/2017 Present
Unemployed Petaling Jaya 11/2016 05/2017
Spec Property Developments (M) Sdn Bhd Petaling Jaya 09/2015 10/2016
  • 06/2017 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Seattle, WA
  • 06/2017 → Present
    Bank Of America, N.A.
    Seattle, WA
  • 11/2016 → 05/2017
    Unemployed
    Petaling Jaya
  • 09/2015 → 10/2016
    Spec Property Developments (M) Sdn Bhd
    Petaling Jaya
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-07-16
  • S66 Uniform Combined State Law Examination
    2020-07-16
Other Names
  • Seng Lim
  • Sek Seng Lim

View on SEC IAPD

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Other Offices

KLAKNA GROUP LTD · SEATTLE, WA
EUCLIDEAN TECHNOLOGIES MANAGEMENT, LLC · SEATTLE, WA
MADISON PARK CAPITAL ADVISORS, LLC · SEATTLE, WA
ETERNAL DIGITAL FUND LTD. · SEATTLE, WA
FREESTONE CAPITAL MANAGEMENT, LLC · SEATTLE, WA
CEDAR RIVER CAPITAL, LLC · SEATTLE, WA
ROBERT A. UNDERHILL P.C. · SEATTLE, WA
SITKA PACIFIC CAPITAL MANAGEMENT, LLC · SEATTLE, WA

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