Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Christopher? Claim Your ProfileChristopher Grant Lum is a financial advisor with over 20 years of experience in the financial services industry. Christopher has a strong background in securities trading and financial planning. He has held various positions at firms such as UBS Securities LLC, Mellon Securities LLC and Donaldson, Lufkin & Jenrette Securities Corporation. Currently, Christopher is an advisor at Charles Schwab & Co., Inc., a leading provider of financial services. He is dedicated to helping individuals and families achieve their financial goals. Christopher's expertise lies in providing tailored financial advice and investment solutions. He is passionate about guiding clients through the complexities of the financial markets and ensuring their financial well-being.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
NJ
07/21/2015 - Present
Charles Schwab & CO., Inc. (Jersey City NJ)
NJ
03/30/2012 - 11/26/2014
METLIFE SECURITIES INC. (CRANFORD NJ)
NJ
03/30/2012 - 08/04/2014
NEW ENGLAND SECURITIES (SOMERSET NJ)
NJ
03/30/2012 - 09/06/2013
TOWER SQUARE SECURITIES, INC. (SOMERSET NJ)
NJ
03/30/2012 - 09/06/2013
WALNUT STREET SECURITIES, INC. (SOMERSET NJ)
NY
08/03/2010 - 04/18/2011
UBS SECURITIES LLC (NEW YORK NY)
NJ
06/10/2004 - 04/12/2010
TRADEWEB L.L.C (JERSEY CITY NJ)
NJ
12/07/2001 - 12/19/2003
MELLON SECURITIES LLC (JERSEY CITY NJ)
NJ
05/01/2000 - 07/27/2001
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
BC
Issued 11/18/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/04/2015
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/14/2010
Series 3 - National Commodity Futures Examination
BC
Issued 04/28/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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