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Ginwing Lum

SG Americas Securities, LLC

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About Ginwing Lum

Ginwing Lum is a financial advisor with over 20 years of experience in the industry. Ginwing is currently registered with SG Americas Securities, LLC in New York, NY. Previously, Ginwing Lum was employed by Credit Suisse Securities (USA) LLC in New York, NY and Global Access Financial Services in Lake Success, NY. Ginwing holds a variety of licenses and certifications, including the Series 3, 7, 57TO, 79TO and SIE.

Firm Information

Ginwing Lum is currently registered with SG Americas Securities, LLC. SG Americas Securities, LLC is a Limited Liability Company formed on August 8, 2003. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico. They have a history of regulatory events, including 109 disclosures, as well as a criminal disclosure and an arbitration disclosure.

Not reported

Assets Under Management

Not reported

Total Clients

557

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Ginwing Lum’s Registration & Firm History

NY

05/05/2006 - Present

SG Americas Securities, LLC (NEW YORK NY)

NY

09/11/2002 - 04/06/2006

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

NY

01/01/2002 - 04/09/2002

GLOBAL ACCESS FINANCIAL SERVICES (LAKE SUCCESS NY)

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Licenses & Designations

BC

Issued 02/26/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/16/2016

Series 3 - National Commodity Futures Examination

BC

Issued 12/29/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX PEARL, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Ginwing Lum.
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