Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Keith? Claim Your ProfileKeith Lum is a financial advisor with UBS Financial Services Inc. Keith has been in the financial industry for over 25 years and has a deep understanding of investment strategies. Keith is a registered representative in several states, including California, Texas, and Ohio. Keith is also a member of the board of directors for Every Child Succeeds. Keith is committed to helping clients achieve 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.
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
OH
07/16/2010 - Present
UBS Financial Services Inc. (CINCINNATI OH)
OH
05/29/2006 - 02/09/2007
MCDONALD INVESTMENTS INC. (CINCINNATI OH)
OH
01/19/2000 - 12/04/2002
INSTITUTIONAL BROKERAGE SERVICES CORPORATION (CINCINNATI OH)
OH
06/25/1998 - 04/12/1999
SKY INVESTMENTS, INC. (BRYAN OH)
IL
03/01/1994 - 07/01/1998
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
MN
10/13/1992 - 12/20/1993
MIMLIC SALES CORPORATION (ST. PAUL MN)
BOTH
Issued 10/30/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/26/2006
Series 7 - General Securities Representative Examination
BC
Issued 10/07/1992
Series 6 - Investment Company Products/Variable Contracts 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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