Alexander Ho Lim

Founders Financial Securities, LLC

37 Years of Experience

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Firm Information

Founders Financial Securities, LLC

Compensation

Fee-Only (AUM)Fixed/Hourly

Number of Advisors

113 advisors

Number of Clients

9,021 clients

Average Client Portfolio

$368K average

Assets Under Management

$3.3B

Fee Structure

Fees are determined separately for each account and are negotiable, depending on factors like asset type, account size, and services provided. Fees are generally based on a percentage of assets under management, charged quarterly or monthly, in advance or arrears. IARs may also charge a flat dollar rate or percentage for managing held-away accounts. Clients may also be charged commissions if the IAR is a registered representative.

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Areas of Practice

Investment ManagementRetirement PlanningFinancial Planning & CoachingEstate Planning

Advisor Information

Office location

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

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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

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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.