Stephen Lim
Stephen Lim is a registered investment advisor at LPL Financial LLC, based in Chico, CA, with 41 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
Chico, CA
Get directionsHistory
Regulatory History (7)
Customer Dispute
June 2013Customer Dispute
March 2006Regulatory
February 1998Customer Dispute
April 1996Employment Separation After Allegations
March 1996Customer Dispute
February 1996Customer Dispute
July 1992Other Business ActivitiesSells Insurance
Stephen is involved in non-variable insurance, including life, health, disability income, long-term care, and fixed annuities since 2010. He also has a DBA called LIM & Associates related to non-variable insurance since 2011.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
LPL Financial LLC
Previous Registrations
Associated Planners Investment Advisory INC
Associated Securities CORP.Broker
Associated Securities CORP.
Fsc Securities Corporation
Fsc Securities CorporationBroker
Round Hill Securities, INC.Broker
Dean Witter Reynolds INC.Broker
Shearson Lehman Hutton INC.Broker
Birr, Wilson Securities, INC.Broker
Birr, Wilson & CO., INC.Broker
State Registrations9 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.