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Hooi Ling Lim

Rockefeller Financial LLC

Davis, CA

Los Angeles, CA

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Current Employers
Rockefeller Financial Llc

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-05-11
TX RA APPROVED 2022-05-11
  • CA RA
    APPROVED
    Since 2022-05-11
  • TX RA
    APPROVED
    Since 2022-05-11

Branch Locations

Davis, CA • United States

1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • 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
Morgan Stanley Los Gatos CA 08/2016 04/2022
First Republic Securities Company, Llc Palo Alto CA 04/2022 05/2022
First Republic Investment Management, Inc. Palo Alto CA 04/2022 05/2022
Rockefeller Financial Llc Los Gatos CA 05/2022 12/2022
Rockefeller Financial Llc Campbell CA 01/2023 03/2025
Rockefeller Financial Llc Davis CA 03/2025 Present
Previous Registrations
  • 2009-12-21 → 2022-05-13
    Morgan Stanley
    Palo Alto, CA
    Los Gatos, CA
    Palo Alto, CA
    Los Gatos, CA
    Palo Alto, CA
  • 2022-04-19 → 2022-04-26
    J.P. Morgan Private Wealth Advisors Llc
    Palo Alto, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-12-14
S63 Uniform Securities Agent State Law Examination 2001-04-30
  • S65 Uniform Investment Adviser Law Examination
    2009-12-14
  • S63 Uniform Securities Agent State Law Examination
    2001-04-30
Other Names
  • Hooiling Lim
  • Wey Lim

View on SEC IAPD

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