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Alexander Lim

Founders Financial Securities, LLC
37 Years of Experience
Columbia, MD
1 DisclosureBrokerSells Insurance
View SEC Summary
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Alexander Lim is a registered investment advisor at Founders Financial Securities, LLC, based in Columbia, MD, with 37 years of industry experience. Alexander is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Annuities, Business Owners, Corporate Executives, Education Planning, and 8 more. Their firm serves 9,870 clients with $4.1B in assets under management.

Founders Financial Securities, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
117 advisors
Number of Clients
9,870 clients
Average Client Portfolio
$419K average
Assets Under Management
$4.1B

Fee Structure

Minimum Investment:$5K
Investment management only (planning not offered)
Minimum Annual Fee:$125
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M1.70%
$1M+1.40%

Fees vary by program and are negotiable. Maximum rates reach up to 2.75% depending on the specific program selected. The schedule reflects Private Wealth Solutions tiers; other programs charge flat percentage rates up to 2.75%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

9250 Rumsey Road, Suite 103, Columbia, MD, 21045

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
January 2017
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Alexander is the CEO/President of LIM Financial Group, focusing on insurance and investment sales, dedicating significantly more than full-time hours to this role. He also co-owns and instructs at U.S. Jow Ga Martial Arts, a Kung Fu school, spending about a quarter of his time on this non-investment related activity.

Employment History
Current Registrations
Founders Financial Securities, LLC
June 2016 - Present · 10 yrs 4 mos
Founders Financial Securities LLCBroker
May 2015 - Present · 11 yrs 5 mos
Previous Registrations
LPL Financial LLCBroker
December 2011 - June 2015 · 3 yrs 6 mos
Founders Financial Securities, LLC
November 2006 - December 2011 · 5 yrs 1 mo
Founders Financial Securities LLCBroker
November 2006 - December 2011 · 5 yrs 1 mo
Intersecurities, INC.
January 2002 - November 2006 · 4 yrs 10 mos
Intersecurities, INC.Broker
March 2000 - November 2006 · 6 yrs 8 mos
The Lincoln National Life Insurance CompanyBroker
October 1988 - March 2000 · 11 yrs 5 mos
Lincoln Financial Advisors CorporationBroker
October 1988 - March 2000 · 11 yrs 5 mos
Lincoln National Pension Insurance CompanyBroker
October 1988 - January 1989 · 3 mos
State Registrations12 states
DCFLILMAMDNCNHNJPATXVAWI
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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