Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jim? Claim Your ProfileJim Andrew Lund is a financial advisor based in San Marino, California. Jim has over 27 years of experience in the financial services industry. Jim is currently registered with Cabot Lodge Securities LLC. Jim has previously been registered with Concorde Investment Services, LLC, Capwest Securities, Inc., United Securities Alliance, Inc., Investors Capital Corp., FSC Securities Corporation, and Laguna Securities, Inc.. Jim holds the Series 7, Series 63, and Series 24 licenses.
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.
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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2
CA
11/03/2015 - Present
Cabot Lodge Securities LLC (San Marino CA)
CA
08/10/2011 - 11/11/2015
CONCORDE INVESTMENT SERVICES, LLC (SAN MARINO CA)
CA
02/12/2007 - 08/10/2011
CAPWEST SECURITIES, INC. (SAN MARINO CA)
CA
01/23/2006 - 02/12/2007
UNITED SECURITIES ALLIANCE, INC. (SAN MARINO CA)
MA
03/25/1997 - 12/09/2005
INVESTORS CAPITAL CORP. (LYNNFIELD MA)
GA
05/13/1996 - 02/10/1997
FSC SECURITIES CORPORATION (ATLANTA GA)
CA
11/20/1995 - 05/08/1996
LAGUNA SECURITIES, INC. (NEWPORT BEACH CA)
BC
Issued 12/11/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/04/1997
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/17/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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