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Jimmy D Lin
JIMMY DAO LIN
CRD#: 4720232
IA
B
CHARLES SCHWAB & CO., INC.CRD#: 5393 2825 Main Street
Irvine, CA 92614
Irvine, CA 92614
0
Disclosures
19
Years of Experience
View By:
State Registrations
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Arizona 1/26/2022
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New Jersey 1/26/2022
B
California 1/26/2022
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New York 1/26/2022
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California 1/26/2022
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Ohio 1/26/2022
B
Colorado 1/26/2022
B
Oregon 3/27/2025
B
Florida 1/26/2022
B
Texas 1/26/2022
B
Georgia 9/17/2024
B
Utah 1/31/2022
B
Nevada 5/15/2024
B
Washington 1/26/2022
SRO Registrations
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Registered with this firm since 1/26/2022
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Registered with this firm since 1/26/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 04/04/2019 - 07/29/2024 | Irvine, CA | |
IA | 04/04/2019 - 09/07/2023 | Irvine, CA | |
IA | 04/04/2019 - 10/14/2022 | Irvine, CA | |
IA | 07/13/2018 - 03/21/2019 | BOSTON, MA | |
B | 04/27/2015 - 03/18/2019 | MISSION VIEJO, CA | |
IA | 07/08/2015 - 07/13/2018 | TORRANCE, CA | |
B | 07/20/2012 - 07/08/2014 | NEWPORT BEACH, CA | |
B | 05/29/2007 - 08/04/2011 | LOS ANGELES, CA | |
B | 06/24/2005 - 05/29/2007 | COSTA MESA, CA | |
B | 12/11/2004 - 06/24/2005 | NEW YORK CITY, NY | |
B | 05/19/2004 - 12/11/2004 | NEWPORT BEACH, CA | |
B | 11/20/2003 - 05/20/2004 | NEWPORT BEACH, CA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.