Stephen Frederick Lim

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2018-07-17
CA	RA	APPROVED	2009-09-08

TX RA
APPROVED_RES

Since 2018-07-17
CA RA
APPROVED

Since 2009-09-08

Branch Locations

Chico, CA • United States

Disclosures

3 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination Yes

Employment History

Organization	City	State	From	To
Lpl Financial, Llc	Alamo	CA	09/2009	Present

09/2009 → Present

Lpl Financial, Llc

Alamo, CA

Previous Registrations

2009-01-26 → 2009-09-25

Associated Planners Investment Advisory Inc

Boston, MA
2009-01-26 → 2009-09-08

Associated Securities Corp.

Boston, MA

San Mateo, CA

Walnut Creek, CA
2002-02-11 → 2009-02-06

Fsc Securities Corporation

Walnut Creek, CA

Other Businesses

1) 04/08/2010 - NON-VARIABLE INSURANCE - LIFE, HEALTH, DI, LTC, FIXED ANNUITIY 2) 02/10/2011 - NON-VARIABLE INSURANCE DBA - LIM & ASSOCIATES

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-09-05
S63	Uniform Securities Agent State Law Examination	1984-11-07

S65 Uniform Investment Adviser Law Examination

2001-09-05
S63 Uniform Securities Agent State Law Examination

1984-11-07

Other Names

Stephen F Pang

View on SEC IAPD