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Charles Nmn Lim

Stancorp Investment Advisers, Inc.

Arcadia, CA

Portland, OR

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Current Employers
Stancorp Investment Advisers, Inc.

1100 Sw Sixth Avenue, Portland, OR 97204 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-12-20
  • CA RA
    APPROVED
    Since 2024-12-20

Branch Locations

Arcadia, CA • United States

1100 Sw Sixth Avenue, Portland, OR 97204 • 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
Cetera Financial Group El Segundo CA 04/2015 01/2017
Unionbanc Investment Services Llc Glendale CA 01/2017 05/2019
Mirae Asset Wealth Management Los Angeles CA 05/2019 03/2021
Solariant Capital Llc Pasadena CA 04/2021 05/2021
Stancorp Equities Inc. Portland OR 05/2021 Present
Stancorp Investment Advisors Inc. Portland OR 05/2021 Present
  • 04/2015 → 01/2017
    Cetera Financial Group
    El Segundo, CA
  • 01/2017 → 05/2019
    Unionbanc Investment Services Llc
    Glendale, CA
  • 05/2019 → 03/2021
    Mirae Asset Wealth Management
    Los Angeles, CA
  • 04/2021 → 05/2021
    Solariant Capital Llc
    Pasadena, CA
  • 05/2021 → Present
    Stancorp Equities Inc.
    Portland, OR
  • 05/2021 → Present
    Stancorp Investment Advisors Inc.
    Portland, OR
Previous Registrations
  • 2019-05-17 → 2021-04-01
    Mirae Asset Wealth Management (Usa) Inc.
    Los Angeles, CA
    Los Angeles, CA
    Los Angeles, CA
  • 2017-01-24 → 2019-05-13
    U.S. Bancorp Advisors, Llc
    Glendale, CA
  • 2009-08-25 → 2017-01-12
    First Allied Securities, Inc.
    San Diego, CA
  • 2012-06-25 → 2017-01-12
    First Allied Advisory Services, Inc.
    San Diego, CA
  • 2008-09-29 → 2009-08-25
    Lpl Financial Llc
    San Diego, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-09-27
  • S66 Uniform Combined State Law Examination
    2008-09-27
Other Names
  • Hong Chul Lim
  • Charles Lim

View on SEC IAPD

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