Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Calvina? Claim Your ProfileCalvina Lum is a registered representative with UBS Financial Services Inc. Calvina has been in the industry since 1999 and has been with UBS Financial Services Inc. since 1997. Calvina holds the Series 7, Series 66, and SIE licenses. Calvina is registered in Alaska, Arizona, California, Oregon, and Washington. Calvina specializes in a variety of areas including insurance companies, investment companies, charitable organizations, high-net-worth individuals, pension and profit sharing plans, corporations or other businesses, individuals other than high-net-worth, and state or municipal government entities. Calvina can assist you with a variety of financial planning needs.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
WA
12/06/2000 - Present
UBS Financial Services Inc. (SEATTLE WA)
BOTH
Issued 12/10/1999
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/19/1999
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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