Career
Charles Lim has been Chief Compliance Officer of Stancorp Investment Advisers since June 2021. Charles Lim is a control person of the firm and directly owns under 5% of it.
Stancorp Investment Advisers, Inc. is a Portland, OR firm with $34.5B under management, 96,128 clients and 12 advisers across 2 offices, as of its March 2026 filing.
- – present · 5 yearsArcadia, CA · Adviser representative · Firm CRD 110228
- Mirae Asset Wealth Management (usa) Inc.– · 1 yearLos Angeles, CA · Adviser representative · Firm CRD 147991
- Unionbanc Investment Services, LLC– · 2 yearsGlendale, CA · Adviser representative · Firm CRD 14455
- First Allied Advisory Services, Inc.– · 4 yearsSan Diego, CA · Adviser representative · Firm CRD 137888
- First Allied Securities, Inc.– · 7 yearsSan Diego, CA · Adviser representative · Firm CRD 32444
- LPL Financial Corporation– · under a yearSan Diego, CA · Adviser representative · Firm CRD 6413
Credentials and registrations
Investment adviser representative registrations
| State | Status | Since |
|---|---|---|
| California | Approved | 20 December 2024 |
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 31 January 2013 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 4 September 2010 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 31 July 2010 |
| Series 66 | Uniform Combined State Law Examination | 27 September 2008 |
| Series 7 | General Securities Representative Examination | 5 December 2007 |
- Name
- Compliance Officer Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Charles Lim
- CRD
- 5039063
- Office
- Arcadia, CA
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does Charles Lim work?
Charles Lim has been Chief Compliance Officer of Stancorp Investment Advisers, Inc. since June 2021, and is a control person of the firm.
Is Charles Lim a financial advisor?
Yes. Charles Lim has a current investment-adviser registration in California, through Stancorp Investment Advisers since June 2021.
How many years of experience does Charles Lim have?
Charles Lim has 18 years in the financial industry, since February 2008, across 6 adviser firms.
What exams has Charles Lim passed?
Charles Lim has passed 6 licensing exams: the Series 7, Series 66, Series 9, Series 10, Series 24 and Series 14. The earliest, the Series 7, was passed in December 2007. FINRA credited Charles Lim with the SIE, which began in October 2018.
Where did Charles Lim work before Stancorp Investment Advisers?
Before Stancorp Investment Advisers, Charles Lim was registered through Mirae Asset Wealth Management (usa) Inc., May 2019 to April 2021; Unionbanc Investment Services, LLC, January 2017 to May 2019; First Allied Advisory Services, Inc., June 2012 to January 2017; First Allied Securities, Inc., August 2009 to January 2017; LPL Financial Corporation, September 2008 to August 2009.
Where is Charles Lim based?
Charles Lim’s registered office is in Arcadia, CA.