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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gary? Claim Your ProfileGary Lum is a financial advisor with over 36 years of experience in the financial services industry. Gary has been registered with Wells Fargo Clearing Services, LLC since 2008. Prior to joining Wells Fargo, Gary worked for A. G. Edwards & Sons, Inc., PaineWebber Incorporated, and Dean Witter Reynolds Inc. Gary is a Certified Financial Planner and holds Series 3, 7, 9, 10, 63 and 65 licenses. Gary specializes in providing investment advice to individuals and families, and has a strong focus on retirement planning, college savings, and estate planning. Gary has a deep understanding of the financial markets and can help clients develop personalized investment strategies to meet their financial goals.
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.
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.
Investment consulting services to institutional clients
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.
1
2
CA
11/01/2016 - Present
Wells Fargo Clearing Services, LLC (WALNUT CREEK CA)
CA
08/29/1997 - 01/03/2008
A. G. EDWARDS & SONS, INC. (WALNUT CREEK CA)
NJ
08/31/1992 - 09/09/1997
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
08/21/1986 - 09/09/1992
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 06/26/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/03/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/17/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/01/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/05/1991
Series 3 - National Commodity Futures Examination
BC
Issued 08/16/1986
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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